Statement of Changes in Beneficial Ownership (4)
23 März 2023 - 09:20PM
Edgar (US Regulatory)
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 * DIMON JAMES |
2. Issuer Name and Ticker or Trading
Symbol JPMORGAN CHASE & CO [ JPM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chairman & CEO |
(Last)
(First)
(Middle)
383 MADISON AVENUE |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/21/2023
|
(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)
|
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 |
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 |
(1) |
3/21/2023 |
|
A |
|
298970.1204 (2) |
|
(3) |
(3) |
Common Stock |
298970.1204 |
$0.0000 |
298970.1204 |
D |
|
Explanation of
Responses: |
(1) |
Each Performance Share Unit
(PSU) represents a contingent right to receive one share of JPMC
common stock upon vesting based on the attainment of performance
goals. |
(2) |
Represents PSUs earned
(including reinvested dividend equivalents) based on the Firm's
attainment of pre-established performance goals for the three-year
performance period ended December 31, 2022. The PSUs are expected
to vest and settle in shares of common stock on March 25, 2023,
which will be reported in a later Form 4 filing. The Firm
previously reported in a Current Report on Form 8-K filed on
January 23, 2020 that Mr. James Dimon's compensation for
performance year 2019 included variable compensation comprised
partly of the PSUs reported. In accordance with the terms of the
PSUs, the Board's Compensation & Management Development
Committee has certified the Firm's absolute and relative
performance against the pre-established performance goals for the
performance period and has determined that the maximum amount of
the previously granted PSUs has been earned. |
(3) |
Shares delivered, after
applicable tax withholding, must be held for an additional two-year
period, for a total combined vesting and holding period of five
years from the date of grant, as provided under the terms of the
PSU award granted on January 21, 2020. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
DIMON JAMES
383 MADISON AVENUE
NEW YORK, NY 10179-0001 |
X |
|
Chairman & CEO |
|
Signatures
|
/s/ Holly Youngwood under POA |
|
3/23/2023 |
**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 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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