SEC Form 4 · accession 0001225208-17-017212
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary E. Erdoes
Officer — CEO Asset Management
Period of report
Nov 10, 2017
Accepted (ET)
Nov 13, 2017 · 4:16 pm EST
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 | Nov 10, 2017 | M | 230,770 | $44.29 | A | 557,648 | D | |
| Common Stock | Nov 10, 2017 | M | 44,995 | $35.61 | A | 602,643 | D | |
| Common Stock | Nov 10, 2017 | F | 207,277 | $97.92 | D | 395,366 | 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 RightsF1 | $35.61 | Nov 10, 2017 | M | 44,995 | D | — | Jan 18, 2022 | Common Stock | 44,995 | 0 | D |
| Stock Appreciation RightsF2 | $44.29 | Nov 10, 2017 | M | 230,770 | D | — | Jan 19, 2021 | Common Stock | 230,770 | 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.