SEC Form 4 · accession 0001225208-16-031663
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
Apr 21, 2016
Accepted (ET)
Apr 22, 2016 · 4:10 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 21, 2016 | M | 16,873 | $35.61 | A | 120,560 | D | |
| Common Stock | Apr 21, 2016 | M | 15,385 | $44.29 | A | 135,945 | D | |
| Common Stock | Apr 21, 2016 | M | 10,460 | $46.58 | A | 146,405 | D | |
| Common Stock | Apr 21, 2016 | F | 9,203 | $64.00 | D | 137,202 | D | |
| Common Stock | Apr 21, 2016 | F | 13,292 | $64.00 | D | 123,910 | D | |
| Common Stock | Apr 21, 2016 | F | 13,567 | $64.00 | D | 110,343 | 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 RightsF1 | $46.58 | Apr 21, 2016 | M | 10,460 | D | — | Jan 17, 2023 | Common Stock | 10,460 | 20,922 | D |
| Stock Appreciation RightsF2 | $35.61 | Apr 21, 2016 | M | 16,873 | D | — | Jan 18, 2022 | Common Stock | 16,873 | 16,873 | D |
| Stock Appreciation RightsF3 | $44.29 | Apr 21, 2016 | M | 15,385 | D | — | Jan 19, 2021 | Common Stock | 15,385 | 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.