SEC Form 4 · accession 0001225208-17-009310
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marianne Lake
Officer — Chief Financial Officer
Period of report
May 5, 2017
Accepted (ET)
May 8, 2017 · 4:24 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 | May 5, 2017 | M | 67,492 | $35.61 | A | 67,492 | D | |
| Common Stock | May 5, 2017 | F | 49,896 | $86.88 | D | 17,596 | D | |
| Common Stock | holding | — | — | — | 44,711 | I | By GRATs |
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 | $35.61 | May 5, 2017 | M | 67,492 | D | — | Jan 18, 2022 | Common Stock | 67,492 | 0 | D |
Explanation of responses
- F1Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 18, 2013. Shares resulting from exercise must be held at least five years from the grant date.