SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 8-K
CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
| Date of Report: November 14, 2002 | Commission file number 1-5805 |
J.P. MORGAN CHASE & CO.
| Delaware (State or other jurisdiction of incorporation) |
13-2624428 (I.R.S. Employer Identification No.) |
|
| 270 Park Avenue, New York, New York (Address of principal executive offices) |
10017 (Zip Code) |
(Registrant’s telephone number, including area code) 212-270-6000
| Item 7. Financial Statements, Pro Forma Financial Information and Exhibits | ||||||||
| Item 9. Regulation FD Disclosure | ||||||||
| EXHIBIT INDEX | ||||||||
| SIGNATURE | ||||||||
Item 7. Financial Statements, Pro Forma Financial Information and Exhibits
The following exhibits are furnished as part of this report:
| Exhibit | Description | |
| 99.1 | Certification of Periodic Report, dated November 14, 2002, of the Principal Executive Officer and Principal Financial Officer of the Company pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
Item 9. Regulation FD Disclosure
On November 14, 2002, the Principal Executive Officer and Principal Financial Officer of the Company provided a written statement accompanying the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2002 pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. Attached as Exhibit 99.1 is a copy of such written statement.
The information in this Current Report on Form 8-K, including the exhibit, is furnished pursuant to Item 9 and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities under that Section. Furthermore, the information in this Current Report on Form 8-K, including the exhibit, shall not be deemed to be incorporated by reference into the filings of the Company under the Securities Act of 1933.
EXHIBIT INDEX
| Exhibit Number | Description | |
| 99.1 | Certification of Periodic Report, dated November 14, 2002, of the Principal Executive Officer and Principal Financial Officer of the Company pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| J.P. MORGAN CHASE & CO. | ||
| (Registrant) | ||
| /s/ William H. McDavid | ||
|
William H. McDavid General Counsel |
||
| Dated: November 14, 2002 |
EXHIBIT 99.1
Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
(Subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code)
Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. Section 1350) each of the undersigned officers of J.P. Morgan Chase & Co., a Delaware corporation (the “Company”), does hereby certify that:
The Quarterly Report on Form 10-Q for the quarter ended September 30, 2002 (the “Form 10-Q”) of the Company fully complies with the requirements of Section 13(a) of the Securities Exchange Act of 1934 and the information contained in the Form 10-Q fairly presents, in all material respects, the financial condition and results of operations of the Company.
| Dated: November 14, 2002 | By: | /s/ William B. Harrison, Jr. | ||
| William B. Harrison, Jr. Chief Executive Officer |
||||
| Dated: November 14, 2002 | By: | /s/ Dina Dublon | ||
| Dina Dublon Chief Financial Officer |