SEC Form 4 · accession 0001225208-19-003260
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
Feb 20, 2019
Accepted (ET)
Feb 21, 2019 · 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 | Feb 20, 2019 | M | 149,179 | $43.20 | A | 443,847 | D | |
| Common Stock | Feb 20, 2019 | F | 104,520 | $105.3375 | D | 339,327 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF1 | $43.20 | Feb 20, 2019 | M | 149,179 | D | — | Jan 20, 2020 | Common Stock | 149,179 | 0 | D |
Explanation of responses
- F1Stock 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.