SEC Form 4 · accession 0001225208-17-010311
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
May 23, 2017
Accepted (ET)
May 23, 2017 · 5:51 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 StockF1 | May 23, 2017 | G | 50,490 | $0.00 | A | 968,960 | I | By Family Trusts |
| Common StockF1,F2 | May 23, 2017 | G | 50,490 | $0.00 | D | 3,698,292 | I | By GRATs |
| Common StockF2 | holding | — | — | — | 688,677 | D | ||
| Common Stock | holding | — | — | — | 7,314 | I | By 401(k) | |
| Common StockF3 | holding | — | — | — | 115,800 | I | By LLC | |
| Common Stock | holding | — | — | — | 1,058,960 | I | By Spouse | |
| Common Stock | holding | — | — | — | 326,040 | I | By Spouse's GRATs |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Upon termination of a Grantor Retained Annuity Trust, 50,490 shares were transferred to Family Trusts as beneficiaries.
- F2Amount owned directly includes 571,278 shares transferred from a Grantor Retained Annuity Trust to the Grantor on May 22, 2017. This transfer is exempt from Section 16 pursuant to Rule 16a-13.
- F3Reporting person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest.