SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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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). |
1. Name and Address of Reporting Person*
| JPMORGAN CHASE & CO. |
| 270 PARK AVENUE |
(Street)
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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) |
| Head of Human Resources |
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3. Date of Earliest Transaction
(Month/Day/Year)
10/25/2018
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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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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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
10/25/2018 |
|
M |
|
3,003 |
A |
$0
|
11,597 |
D |
|
| Common Stock |
10/25/2018 |
|
F |
|
1,599 |
D |
$104.81
|
9,998 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Restricted Stock Units |
|
10/25/2018 |
|
M |
|
|
3,003 |
|
10/25/2019 |
Common Stock |
3,003 |
$0.0000
|
3,003 |
D |
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| Explanation of Responses: |
|
|
| Remarks: |
|
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/s/ David K.F. Gillis under POA |
10/26/2018 |
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** 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 Number. |
JPMorgan Chase & Co.
Power of Attorney
For Preparing, Signing and Filing Certain Reports with the SEC
KNOW ALL BY THESE PRESENTS, that the undersigned in his or her capacity as
an officer or director of JPMorgan Chase & Co. ("JPMC") hereby constitutes and
appoints each of Stacey Friedman, Molly Carpenter, David K.F. Gillis, Holly
Youngwood, Carin S. Reddish,Jordan A. Costa and Stephen B. Grant, signing
singly,
his/her true and lawful attorney-in-fact to:
(1) prepare and execute for and on behalf of the undersigned in connection with
transactions in JPMC securities (a) any and all forms of report, including
amendments to such reports, required to be made pursuant to Section 16(a) of the
Securities Exchange Act of 1934 (the "Exchange Act") and related rules of the
Securities and Exchange Commission ("SEC") and (b) any documents or reports
which may be required under SEC Rule 144 to permit the undersigned to sell JPMC
common stock without registration under the Securities Act of 1933 (the "1933
Act") in reliance on Rule 144 as amended from time to time;
(2) apply for, if required, and administer Edgar codes on behalf of the
undersigned to enable electronic filings with the SEC;
(3) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable for the preparation and timely filing of any such
reports, documents and reports with the SEC, any United States stock exchange,
and any other authority; and
(4) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of
the undersigned pursuant to this Power of Attorney shall be in such form and
shall contain such terms and conditions as such attorney-in-fact may approve in
such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform each and every act and thing whatsoever requisite,
necessary and proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or his or her
substitute or substitutes, shall lawfully do or cause to be done by virtue of
this Power of Attorney and the rights and powers hereby granted. The undersigned
acknowledges that none of the foregoing attorneys-in-fact in serving in such
capacity at the request of the undersigned is assuming any of the undersigned's
responsibilities to comply with either the Exchange Act or the 1933 Act.
IN WITNESS WHEREOF, the undersigned has executed this Power of
Attorney as of September 19, 2018.
/s/ Robin Leopold
Robin Leopold
