SEC Form 4 · accession 0001225208-17-016248

JPMORGAN CHASE & CO · JPM

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

Reporting owner

Officer — Chairman & CEO · Director

Period of report

Oct 13, 2017

Accepted (ET)

Oct 13, 2017 · 5:12 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^F1	Oct 13, 2017	M	2,000,000	$39.83	A	2,688,677	D
Common Stock^F2	Oct 13, 2017	F	1,483,634	$95.835	D	1,205,043	D
Common Stock	holding	—	—		—	7,335	I	By 401(k)
Common Stock	holding	—	—		—	968,960	I	By Family Trusts
Common Stock	holding	—	—		—	3,698,292	I	By GRATs
Common Stock^F3	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

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Rights	$39.83	Oct 13, 2017	M	2,000,000	D	Jul 22, 2014	Jan 22, 2018	Common Stock	2,000,000	0	D

F1Exercise of Stock Appreciation Rights (SARs) pursuant to SAR Exercise Plan dated August 3, 2017. Amount represents the gross number of shares underlying the SARs.
F2Represents the number of shares surrendered to the company in satisfaction of tax withholding obligations plus a number of shares equal in value to the exercise price multiplied by the number of SARs exercised. Reporting person received 516,366 shares net of such withholding.
F3Reporting person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest.