SEC Form 4 · accession 0001225208-17-016568
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas B Petno
Officer — CEO Commercial Banking
Period of report
Oct 24, 2017
Accepted (ET)
Oct 26, 2017 · 5:09 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 | Oct 24, 2017 | M | 73,116 | $35.61 | A | 115,934 | D | |
| Common Stock | Oct 24, 2017 | M | 25,000 | $43.20 | A | 140,934 | D | |
| Common Stock | Oct 24, 2017 | M | 20,000 | $19.49 | A | 160,934 | D | |
| Common Stock | Oct 24, 2017 | M | 15,000 | $44.29 | A | 175,934 | D | |
| Common Stock | Oct 24, 2017 | F | 91,486 | $100.475 | D | 84,448 | D | |
| Common Stock | holding | — | — | — | 180,058 | 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 | Oct 24, 2017 | M | 73,116 | D | — | Jan 18, 2022 | Common Stock | 73,116 | 0 | D |
| Stock Appreciation RightsF2 | $44.29 | Oct 24, 2017 | M | 15,000 | D | — | Jan 19, 2021 | Common Stock | 15,000 | 0 | D |
| Stock Appreciation RightsF3 | $19.49 | Oct 24, 2017 | M | 20,000 | D | — | Jan 20, 2019 | Common Stock | 20,000 | 0 | D |
| Stock Appreciation RightsF4 | $43.20 | Oct 24, 2017 | M | 25,000 | D | — | Jan 20, 2020 | Common Stock | 25,000 | 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.
- F2Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 19, 2012. 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 annual installments beginning January 20, 2010. Shares resulting from exercise must be held at least 5 years from the grant date.
- F4Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 20, 2011. Shares resulting from exercise must be held at least five years from the grant date.