SEC Form 4 · accession 0001225208-16-031515
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
Apr 15, 2016
Accepted (ET)
Apr 18, 2016 · 5:38 pm EDT
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 Stock | Apr 15, 2016 | M | 20,921 | $46.58 | A | 299,218 | D | |
| Common Stock | Apr 15, 2016 | M | 16,423 | $35.61 | A | 315,641 | D | |
| Common Stock | Apr 15, 2016 | M | 15,000 | $44.29 | A | 330,641 | D | |
| Common Stock | Apr 15, 2016 | F | 12,923 | $62.175 | D | 317,718 | D | |
| Common Stock | Apr 15, 2016 | F | 13,045 | $62.175 | D | 304,673 | D | |
| Common Stock | Apr 15, 2016 | F | 18,395 | $62.175 | D | 286,278 | 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 RightsF1 | $46.58 | Apr 15, 2016 | M | 20,921 | D | — | Jan 17, 2023 | Common Stock | 20,921 | 41,842 | D |
| Stock Appreciation RightsF2 | $35.61 | Apr 15, 2016 | M | 16,423 | D | — | Jan 18, 2022 | Common Stock | 16,423 | 16,423 | D |
| Stock Appreciation RightsF3 | $44.29 | Apr 15, 2016 | M | 15,000 | D | — | Jan 19, 2021 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Stock 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.
- F2Stock 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.
- F3Stock 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.