FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/17/2013 |
3. Issuer Name and Ticker or Trading Symbol
JPMORGAN CHASE & CO [ JPM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 21,313 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | (1) | 01/13/2014 | Common Stock | 17,557 | (2) | D | |
Restricted Stock Units | (3) | 01/13/2015 | Common Stock | 39,537 | (2) | D | |
Restricted Stock Units | (4) | 01/13/2016 | Common Stock | 33,829 | (2) | D | |
Stock Appreciation Rights | (5) | 01/18/2022 | Common Stock | 11,249 | $35.61 | D | |
Stock Appreciation Rights | (6) | 01/20/2020 | Common Stock | 25,000 | $43.2 | D | |
Stock Appreciation Rights | (7) | 01/19/2021 | Common Stock | 10,000 | $44.29 | D | |
Stock Appreciation Rights | (8) | 10/18/2017 | Common Stock | 50,000 | $45.79 | D | |
Stock Appreciation Rights | (9) | 01/17/2023 | Common Stock | 31,381 | $46.58 | D | |
Stock Appreciation Rights | (10) | 10/19/2016 | Common Stock | 50,000 | $46.79 | D |
Explanation of Responses: |
1. Restricted stock units vest 50% on July 25, 2012 and 50% on January 13, 2014. Shares resulting from vesting must be held 6 months from vesting date. |
2. Each restricted stock unit represents a contingent right to receive one share of JPMC common stock. |
3. Restricted stock units vest 50% on July 25, 2013 and 50% on January 13, 2015. Shares resulting from vesting must be held 6 months from vesting date. |
4. Restricted stock units vest 50% on July 25, 2014 and 50% on January 13, 2016. Shares resulting from vesting must be held 6 months from vesting date. |
5. Stock 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. |
6. Stock 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. |
7. Stock 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. |
8. Stock Appreciation Rights vest and become exercisable in five equal annual installments beginning October 18, 2008. Shares resulting from exercise must be held at least 5 years from the grant date. |
9. Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 17, 2014. Shares resulting from exercise must be held at least five years from the grant date. |
10. Stock Appreciate Rights vest and become exercisable in three equal annual installments beginning October 19, 2009. Shares resulting from exercise must be held at least 5 years from the grant date. |
Remarks: |
poaab.txt |
/s/ Anthony Horan under POA | 06/25/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |