SEC Form 4 · accession 0001225208-16-031609
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gordon Smith
Officer — Executive Vice President
Period of report
Apr 19, 2016
Accepted (ET)
Apr 20, 2016 · 5:23 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 19, 2016 | M | 500,000 | $50.59 | A | 628,728 | D | |
| Common Stock | Apr 19, 2016 | F | 452,531 | $63.015 | D | 176,197 | D | |
| Common Stock | holding | — | — | — | 76,511 | I | By GRAT |
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 | $50.59 | Apr 19, 2016 | M | 500,000 | D | Jun 18, 2008 | Jun 18, 2017 | Common Stock | 500,000 | 0 | D |
Explanation of responses
- F1SARs vest and become exercisable in five equal annual installments beginning June 18, 2008. Shares resulting from exercise must be held at least until 5 years after the grant.