SEC Form 4 · accession 0001225208-17-001319
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Dimon
Officer — Chairman & CEO · Director
Period of report
Jan 13, 2017
Accepted (ET)
Jan 18, 2017 · 4:04 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 | Jun 6, 2016 | W | 1,333 | $0.00 | A | 331,333 | D | |
| Common StockF1 | Jan 13, 2017 | M | 159,828 | $0.00 | A | 1,131,445 | D | |
| Common StockF1 | Jan 13, 2017 | M | 99,273 | $0.00 | A | 1,230,718 | D | |
| Common Stock | Jan 13, 2017 | F | 142,988 | $87.135 | D | 1,087,730 | D | |
| Common Stock | holding | — | — | — | 7,268 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 567,743 | I | By Family Trusts | |
| Common Stock | holding | — | — | — | 3,700,456 | I | By GRAT | |
| Common StockF2 | holding | — | — | — | 115,800 | I | By LLC | |
| Common Stock | holding | — | — | — | 1,048,032 | I | By Spouse | |
| Common Stock | holding | — | — | — | 336,968 | I | By Spouse's GRAT |
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 | 159,828 | D | — | Jan 13, 2017 | Common Stock | 159,828 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Jan 13, 2017 | M | 99,273 | D | — | Jan 13, 2018 | Common Stock | 99,273 | 99,273 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of JPMC common stock.
- F2Reporting person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest.
- 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.