SEC Form 4 · accession 0001225208-15-001954
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew E Zames
Officer — Chief Operating Officer
Period of report
Jan 23, 2015
Accepted (ET)
Jan 26, 2015 · 4:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000019617
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 23, 2015 | M | 20,920 | $46.58 | A | 249,817 | D | |
| Common StockF1 | Jan 23, 2015 | M | 17,000 | $43.20 | A | 266,817 | D | |
| Common StockF1 | Jan 23, 2015 | M | 16,423 | $35.61 | A | 283,240 | D | |
| Common StockF1 | Jan 23, 2015 | M | 15,000 | $44.29 | A | 298,240 | D | |
| Common StockF2 | Jan 23, 2015 | F | 60,828 | $57.265 | D | 237,412 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF3 | $46.58 | Jan 23, 2015 | M | 20,920 | D | — | Jan 17, 2023 | Common Stock | 20,920 | 62,763 | D |
| Stock Appreciation RightsF4 | $35.61 | Jan 23, 2015 | M | 16,423 | D | — | Jan 18, 2022 | Common Stock | 16,423 | 32,846 | D |
| Stock Appreciation RightsF5 | $44.29 | Jan 23, 2015 | M | 15,000 | D | — | Jan 19, 2021 | Common Stock | 15,000 | 15,000 | D |
| Stock Appreciation RightsF6 | $43.20 | Jan 23, 2015 | M | 17,000 | D | — | Jan 20, 2020 | Common Stock | 17,000 | 0 | D |
Explanation of responses
- F1Represents the gross number of shares underlying the Stock Appreciation Rights, without reduction as described in Note 2 below.
- F2Represents the number of shares surrendered to the company in satisfaction of tax withholding obligations, plus a number of shares equal in value to the exercise price multiplied by the number of SARs exercised.
- F3Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 17, 2014. Shares resulting from exercise must be held at least five years from the grant date.
- F4Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 18, 2013. Shares resulting from exercise must be held at least five years from the grant date.
- F5Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 19, 2012. Shares resulting from exercise must be held at least five years from the grant date.
- F6Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 20, 2011. Shares resulting from exercise must be held at least five years from the grant date.