SEC Form 5 · accession 0001225208-19-002533
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Dimon
Officer — Chairman & CEO · Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 14, 2019 · 4:15 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 | Feb 12, 2018 | G | 389,808 | $0.00 | A | 1,358,768 | I | By Family Trusts |
| Common StockF2 | Feb 12, 2018 | G | 389,808 | $0.00 | D | 4,254,846 | I | By GRATs |
| Common StockF2 | holding | — | — | — | 306,168 | D | ||
| Common Stock | holding | — | — | — | 7,540 | I | By 401(k) | |
| Common StockF3 | holding | — | — | — | 115,800 | I | By LLC | |
| Common StockF4 | holding | — | — | — | 425,441 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 959,559 | I | By Spouse's GRATs |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Upon termination of a Grantor Retained Annuity Trust, 389,808 shares were transferred Grantor Retained Annuity Trust to Family Trusts as beneficiaries.
- F2Amount owned directly reflects 258,681 shares transferred from a Grantor Retained Annuity Trust to the Grantor on January 31, 2018. This transfer is exempt from Section 16 pursuant to Rule 16a-3.
- F3Reporting person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest.
- F4Amount owned directly by Spouse reflects 10,966 and 414,475 shares transferred from a Grantor Retained Annuity Trust to the Grantor on February 12, 2018 and November 9, 2018 respectively. These transfers are exempt from Section 16 pursuant to Rule 16a-13.