SEC Form 4 · accession 0001225208-17-001313
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, 2017
Accepted (ET)
Jan 18, 2017 · 4:03 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, 2017 | M | 44,047 | $0.00 | A | 67,670 | D | |
| Common StockF1 | Jan 13, 2017 | M | 37,581 | $0.00 | A | 105,251 | D | |
| Common Stock | Jan 13, 2017 | F | 38,367 | $87.135 | D | 66,884 | D | |
| Common Stock | Jan 17, 2017 | S | 12,986 | $84.1498 | D | 53,898 | 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, 2017 | M | 37,581 | D | — | Jan 13, 2017 | Common Stock | 37,581 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Jan 13, 2017 | M | 44,047 | D | — | Jan 13, 2018 | Common Stock | 44,047 | 44,048 | 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 November 15, 2016.
- F3Restricted stock units vest 50% on January 13, 2016 and 50% on January 13, 2017.
- F4Restricted stock units vest 50% on January 13, 2017 and 50% on January 13, 2018.