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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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*
Korablina Elena A

(Last) (First) (Middle)
383 MADISON AVENUE

(Street)
NEW YORK NY 10179-0001

(City) (State) (Zip)
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)
Corporate Controller
3. Date of Earliest Transaction (Month/Day/Year)
01/17/2023
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Restricted Stock Units (1) 01/17/2023 A(2) 11,576 (3) 01/13/2026 Common Stock 11,576 $0.0000 20,398(4) D
Explanation of Responses:
1. Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of JPMC common stock.
2. Equity incentives are subject to the JPMorgan Chase Bonus Recoupment Policy which applies in the event of a material restatement of the Firm's financial statements. In addition, all equity awards granted in 2023 contain recapture provisions that enable the Firm to cancel outstanding awards and/or recover the value of certain stock distributed under the award in specified circumstances. In addition to recapture provisions, portions of equity awards granted to the Reporting Person are also subject to additional Protection-based Vesting provisions under which awards may be cancelled.
3. Restricted stock units vest 50% on January 13, 2025 and 50% on January 13, 2026.
4. Balance of 20,398 also includes (1) the remaining 4,200 RSUs of the previously reported January 2022 RSU grant of 5,600 shares which vests as follows: 1,400 shares on January 13, 2023, 1,400 shares on January 13, 2024, 1,400 shares on January 13, 2025, and 1,400 shares on January 13, 2026. As Identified Staff (material risk-takers identified under U.K. and/or European Union standards) for a portion of the year to which the grant relates, the shares resulting from vesting must be held for 12 months from vesting date; and (2) the remaining 4,622 RSUs of the previously reported January 2019 RSU grant of 7,702 shares which vests as follows: 1,540 shares on January 13, 2022, 1,540 shares on January 13, 2023, 1,540 shares on January 13, 2024, 1,541 shares on January 13, 2025, and 1,541 shares on January 13, 2026. As Identified Staff at the time of grant, the shares resulting from vesting must be held for 12 months from vesting date.
/s/ Holly Youngwood under POA 01/19/2023
** 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).
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