SEC Form 4 · accession 0001225208-16-040714
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
Oct 21, 2016
Accepted (ET)
Oct 24, 2016 · 4:47 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 | Oct 21, 2016 | M | 50,000 | $45.79 | A | 64,938 | D | |
| Common Stock | Oct 21, 2016 | F | 41,315 | $68.115 | D | 23,623 | 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 | $45.79 | Oct 21, 2016 | M | 50,000 | D | — | Oct 18, 2017 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1Stock Appreciation Rights vest and become exercisable in five equal annual installments beginning October 18, 2008. Shares resulting from exercise must be held at least 5 years from the grant date.