SEC Form 4 · accession 0001225208-15-020658
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John L Donnelly
Officer — Director Human Resources
Period of report
Nov 9, 2015
Accepted (ET)
Nov 10, 2015 · 4:35 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 | Nov 9, 2015 | M | 20,920 | $46.58 | A | 109,358 | D | |
| Common StockF2 | Nov 9, 2015 | F | 18,018 | $67.90 | D | 91,340 | D | |
| Common Stock | holding | — | — | — | 12,500 | I | By Spouse, as Custodian for Children |
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 | Nov 9, 2015 | M | 20,920 | D | — | Jan 17, 2023 | Common Stock | 20,920 | 31,382 | 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.