SEC Form 4 · accession 0001225208-16-024260
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ashley Bacon
Officer — Chief Risk Officer
Period of report
Jan 13, 2016
Accepted (ET)
Jan 15, 2016 · 6:00 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 13, 2016 | M | 37,581 | $0.00 | A | 37,581 | D | |
| Common StockF1 | Jan 13, 2016 | M | 16,915 | $0.00 | A | 54,496 | D | |
| Common Stock | Jan 13, 2016 | F | 25,615 | $58.2925 | D | 28,881 | D | |
| Common Stock | Jan 15, 2016 | S | 4,979 | $56.8067 | D | 23,902 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Jan 13, 2016 | M | 16,915 | D | — | Jan 13, 2016 | Common Stock | 16,915 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Jan 13, 2016 | M | 37,581 | D | — | Jan 13, 2017 | Common Stock | 37,581 | 37,581 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of JPMC common stock.
- F2Sale pursuant to 10b5-1 Plan dated October 28, 2015.
- F3Restricted stock units vest 50% on July 25, 2014 and 50% on January 13, 2016. Shares resulting from vesting must be held 6 months from vesting date.
- F4Restricted stock units vest 50% on January 13, 2016 and 50% on January 13, 2017.