SEC Form 4 · accession 0001225208-18-001141
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
Jan 13, 2018
Accepted (ET)
Jan 17, 2018 · 5:16 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 StockF1 | Jan 13, 2018 | M | 49,637 | $0.00 | A | 49,637 | D | |
| Common StockF1 | Jan 13, 2018 | M | 26,861 | $0.00 | A | 76,498 | D | |
| Common Stock | Jan 13, 2018 | F | 39,725 | $111.845 | D | 36,773 | D | |
| Common Stock | Jan 16, 2018 | S | 9,194 | $112.217 | D | 27,579 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Jan 13, 2018 | M | 49,637 | D | — | Jan 13, 2018 | Common Stock | 49,637 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Jan 13, 2018 | M | 26,861 | D | — | Jan 13, 2019 | Common Stock | 26,861 | 26,861 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of JPMC common stock.
- F2Sale pursuant to 10b5-1 Plan dated November 13, 2017.
- F3Restricted stock units vest 50% on January 13, 2017 and 50% on January 13, 2018.
- F4Restricted stock units vest 50% on January 13, 2018 and 50% on January 13, 2019.