SEC Form 4 · accession 0001225208-19-000894
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gordon Smith
Officer — Co-President & COO, CEO CCB
Period of report
Jan 13, 2019
Accepted (ET)
Jan 16, 2019 · 4:18 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, 2019 | M | 42,584 | $0.00 | A | 299,120 | D | |
| Common StockF1 | Jan 13, 2019 | M | 32,493 | $0.00 | A | 331,613 | D | |
| Common Stock | Jan 13, 2019 | F | 36,945 | $99.56 | D | 294,668 | D | |
| Common Stock | holding | — | — | — | 24,025 | I | By Family Trust | |
| Common Stock | holding | — | — | — | 45,000 | 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,F2 | — | Jan 13, 2019 | M | 42,584 | D | — | Jan 13, 2019 | Common Stock | 42,584 | 0 | D |
| Restricted Stock UnitsF1,F3 | — | Jan 13, 2019 | M | 32,493 | D | — | Jan 13, 2020 | Common Stock | 32,493 | 32,493 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of JPMC common stock.
- F2Restricted stock units vest 50% on January 13, 2018 and 50% on January 13, 2019.
- F3Restricted stock units vest 50% on January 13, 2019 and 50% on January 13, 2020.