Statement of Changes in Beneficial Ownership (4)
28 März 2023 - 10:19PM
Edgar (US Regulatory)
FORM 4
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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
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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
]
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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 |
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(Last)
(First)
(Middle)
383 MADISON AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/25/2023 |
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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
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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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.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| 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)
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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
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Pinto Daniel E
383 MADISON AVENUE
NEW YORK, NY 10179-0001 |
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| President & COO, CEO CIB |
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Signatures
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| /s/ Holly Youngwood under POA | | 3/28/2023 |
| **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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