0001225208-16-041689.txt : 20161114 0001225208-16-041689.hdr.sgml : 20161111 20161114170250 ACCESSION NUMBER: 0001225208-16-041689 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161110 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JPMORGAN CHASE & CO CENTRAL INDEX KEY: 0000019617 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 132624428 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 270 PARK AVE STREET 2: 38TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122706000 MAIL ADDRESS: STREET 1: 270 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: J P MORGAN CHASE & CO DATE OF NAME CHANGE: 20010102 FORMER COMPANY: FORMER CONFORMED NAME: CHASE MANHATTAN CORP /DE/ DATE OF NAME CHANGE: 19960402 FORMER COMPANY: FORMER CONFORMED NAME: CHEMICAL BANKING CORP DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Gordon CENTRAL INDEX KEY: 0001311487 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05805 FILM NUMBER: 161995810 MAIL ADDRESS: STREET 1: 200 VESEY STREET, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10285-3913 4 1 doc4.xml X0306 4 2016-11-10 0000019617 JPMORGAN CHASE & CO JPM 0001311487 Smith Gordon JPMORGAN CHASE & CO. 270 PARK AVENUE NEW YORK NY 10017-2070 1 Executive Vice President Common Stock 2016-11-10 4 M 0 179977.0000 35.6100 A 351580.0000 D Common Stock 2016-11-10 4 M 0 40000.0000 19.4900 A 391580.0000 D Common Stock 2016-11-10 4 F 0 159762.0000 75.7350 D 231818.0000 D Common Stock 57370.0000 I By GRAT Stock Appreciation Rights 35.6100 2016-11-10 4 M 0 179977.0000 0.0000 D 2022-01-18 Common Stock 179977.0000 44995.0000 D Stock Appreciation Rights 19.4900 2016-11-10 4 M 0 40000.0000 0.0000 D 2019-01-20 Common Stock 40000.0000 0.0000 D The exercise reported was effected pursuant to a 10b5-1 Plan dated November 1, 2016. Balance reflects shares transferred from indirect to direct ownership from a GRAT distribution on October 31, 2016. 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. Stock Appreciation Rights, which have a ten-year term, become exercisable in five equal annual installments beginning January 20, 2010. Shares resulting from exercise must be held at least 5 years from the grant date. /s/ Holly Youngwood under POA 2016-11-14