SEC Form 4 · accession 0001225208-17-001316

JPMORGAN CHASE & CO · JPM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Managing Director

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 Stock^F1	Jan 13, 2017	M	85,716	$0.00	A	246,591	D
Common Stock^F1	Jan 13, 2017	M	42,117	$0.00	A	288,708	D
Common Stock	Jan 13, 2017	F	60,082	$87.135	D	228,626	D
Common Stock	Jan 17, 2017	M	200,000	$45.79	A	428,626	D
Common Stock	Jan 17, 2017	S	40,433	$84.1517	D	388,193	D
Common Stock	Jan 17, 2017	F	151,612	$84.25	D	236,581	D
Common Stock	holding	—	—		—	132,410	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F3	—	Jan 13, 2017	M	42,117	D	—	Jan 13, 2017	Common Stock	42,117	0	D
Restricted Stock Units^F1,F4	—	Jan 13, 2017	M	85,716	D	—	Jan 13, 2018	Common Stock	85,716	85,717	D
Stock Appreciation Rights^F5	$45.79	Jan 17, 2017	M	200,000	D	—	Oct 18, 2017	Common Stock	200,000	0	D

F1Each restricted stock unit represents a contingent right to receive one share of JPMC common stock.
F2Sale pursuant to 10b5-1 Plan dated November 11, 2016.
F3Restricted stock units vest 50% on July 25, 2015 and 50% on January 13, 2017. Shares resulting from vesting must be held for 6 months from vesting date.
F4Restricted stock units vest 50% on January 13, 2017 and 50% on January 13, 2018. Shares resulting from vesting must be held for 6 months from vesting date.
F5Stock 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.

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