SEC Form 4 · accession 0001225208-17-008109
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stacey Friedman
Officer — General Counsel
Period of report
Apr 17, 2017
Accepted (ET)
Apr 18, 2017 · 4:15 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 17, 2017 | M | 52,552 | $46.58 | A | 63,344 | D | |
| Common Stock | Apr 17, 2017 | M | 40,000 | $37.15 | A | 103,344 | D | |
| Common Stock | Apr 17, 2017 | S | 10,792 | $85.0708 | D | 92,552 | D | |
| Common Stock | Apr 17, 2017 | F | 72,057 | $85.225 | D | 20,495 | 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 RightsF2 | $46.58 | Apr 17, 2017 | M | 52,552 | D | — | Jan 17, 2023 | Common Stock | 52,552 | 13,139 | D |
| Stock Appreciation RightsF3 | $37.15 | Apr 17, 2017 | M | 40,000 | D | — | Aug 20, 2022 | Common Stock | 40,000 | 10,000 | D |
Explanation of responses
- F1Sale pursuant to 10b5-1 Plan dated February 1, 2017.
- F2Stock 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.
- F3Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning August 20, 2013. Shares resulting from exercise must be held at least five years from the grant date.