Statement of Changes in Beneficial Ownership (4)
March 28 2023 - 04:19PM
Edgar (US Regulatory)
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FORM 4
☐ Check this
box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * Pinto Daniel E |
2. Issuer Name and Ticker or Trading
Symbol JPMORGAN CHASE & CO [ JPM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
President & COO, CEO CIB |
|
(Last)
(First)
(Middle)
383 MADISON AVENUE |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/25/2023
|
|
(Street)
NEW YORK, NY 10179-0001 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
|
(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
☐ Check this box to indicate
that a transaction was made pursuant to a contract, instruction or
written plan that is intended to satisfy the affirmative defense
conditions of Rule 10b5-1(c). See Instruction 10. |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
3/25/2023 |
|
M |
|
23442.0000 (1) |
A |
$0 (2) |
670640.0000 |
D |
|
|
Common Stock |
3/25/2023 |
|
M |
|
20510.0046 (3) |
A |
$0 (2) |
691150.0046 |
D |
|
|
Common Stock |
3/25/2023 |
|
M |
|
19523.0000 (4) |
A |
$0 (2) |
710673.0046 |
D |
|
|
Common Stock |
3/25/2023 |
|
M |
|
17826.0000 (5) |
A |
$0 (2) |
728499.0046 |
D |
|
|
Common Stock |
3/25/2023 |
|
F |
|
48194.0046 |
D |
$124.3950 |
680305.0000 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Performance Share Units |
(2) |
3/25/2023 |
|
M |
|
|
20510.0046 (3) |
(3) |
3/25/2024 (3) |
Common Stock |
20510.0046 |
$0.0000 |
20511.0043 |
D |
|
|
Performance Share Units |
(2) |
3/25/2023 |
|
M |
|
|
19523.0000 (4) |
(4) |
3/25/2025 (4) |
Common Stock |
19523.0000 |
$0.0000 |
39047.0000 |
D |
|
|
Performance Share Units |
(2) |
3/25/2023 |
|
M |
|
|
23442.0000 (1) |
(1) |
3/25/2026 (1) |
Common Stock |
23442.0000 |
$0.0000 |
70326.0000 |
D |
|
|
Performance Share Units |
(2) |
3/25/2023 |
|
M |
|
|
17826.0000 (5) |
(5) |
3/25/2027 (5) |
Common Stock |
17826.0000 |
$0.0000 |
71304.0000 |
D |
|
| Explanation of
Responses: |
| (1) |
These shares represent JPMC
common stock acquired on March 25, 2023 upon settlement of a
Performance Share Unit (PSU) award granted on January 15, 2019 for
the three-year performance period ended December 31, 2021 (as
previously disclosed on a Form 4 filed on March 17, 2022), and must
be held for an additional holding period following the vesting of
each installment as provided under the terms of the PSU award
granted on January 15, 2019: (i) a two-year holding period for the
installment vested on March 25, 2022; and (ii) a twelve-month
holding period for installments vesting on March 25, 2023, 2024,
2025, and 2026. |
| (2) |
Each PSU represents a
contingent right to receive one share of JPMC common stock upon
vesting based on the attainment of performance goals. |
| (3) |
These shares represent JPMC
common stock including reinvested dividend equivalents acquired on
Mar. 25, 2023 upon settlement of a PSU award granted on Jan. 17,
2017 for the 3-year performance period ended Dec. 31, 2019 (as
previously disclosed on a Form 4 filed on Mar. 19, 2020). Mr.
Pinto's PSUs are expected to vest in 5 equal installments and
settle in shares of common stock on Mar. 25, 2020, 2021, 2022, 2023
& 2024. The 1st, 2nd, 3rd & 4th installments settled in
shares of common stock on Mar. 25, 2020, 2021, 2022, & 2023,
respectively. Shares, after applicable tax withholding, must be
held for an additional holding period following the vesting of each
installment as provided under the terms of the PSU award granted on
Jan. 17, 2017: a 2-year holding period for the installment vested
on Mar. 25, 2020; a 12-month holding period for the installment
vested on Mar. 25, 2021; and a 6-month holding period for
installments vesting on Mar. 25, 2022, 2023, &
2024. |
| (4) |
These shares represent JPMC
common stock acquired on March 25, 2023 upon settlement of a PSU
award granted on January 16, 2018 for the three-year performance
period ended December 31, 2020 (as previously disclosed on a Form 4
filed on March 18, 2021), and must be held for an additional
holding period following the vesting of each installment as
provided under the terms of the PSU award granted on January 16,
2018: (i) a two-year holding period for the installment vested on
March 25, 2021; and (ii) a twelve-month holding period for
installments vesting on March 25, 2022, 2023, 2024, and
2025. |
| (5) |
These shares represent JPMC
common stock acquired on March 25, 2023 upon settlement of a PSU
award granted on January 21, 2020 for the three-year performance
period ended December 31, 2022 (as previously disclosed on a Form 4
filed on March 23, 2023), and must be held for an additional
holding period following the vesting of each installment as
provided under the terms of the PSU award granted on January 21,
2020: (i) a two-year holding period for the installment vested on
March 25, 2023; and (ii) a twelve-month holding period for
installments vesting on March 25, 2024, 2025, 2026, and
2027. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Pinto Daniel E
383 MADISON AVENUE
NEW YORK, NY 10179-0001 |
|
|
President & COO, CEO CIB |
|
Signatures
|
|
/s/ Holly Youngwood under POA |
|
3/28/2023 |
| **Signature of Reporting
Person |
Date |
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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 4(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 control number. |
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