Statement of Changes in Beneficial Ownership (4)
23 März 2023 - 09:25PM
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
|
|
| 1. Name
and Address of Reporting Person * Lake Marianne |
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)
Co-CEO CCB |
|
(Last)
(First)
(Middle)
383 MADISON AVENUE |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/21/2023
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|
(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 |
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 |
|
52380.1870 (2) |
|
(3) |
(3) |
Common Stock |
52380.1870 |
$0.0000 |
52380.1870 |
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. 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 |
Lake Marianne
383 MADISON AVENUE
NEW YORK, NY 10179-0001 |
|
|
Co-CEO CCB |
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Signatures
|
|
/s/ Holly Youngwood under POA |
|
3/23/2023 |
| **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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