Lake Marianne's Form 4 filing
JPMorgan Chase & Co (JPM) · filed Jan 17, 2023
- Accession no.
- 0001225208-23-000688
- Filed
- Jan 17, 2023
- Trade date
- Jan 13-17, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.41M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lake MarianneCIK 0001566079 | Officer (Co-CEO CCB) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 13, 2023 | Common Stock | MOption exerciseAcquired | +16,103 | $0.00F1 | $0 | 97,592 | Direct | |
| Jan 13, 2023 | Common Stock | MOption exerciseAcquired | +15,942 | $0.00F1 | $0 | 113,534 | Direct | |
| Jan 13, 2023 | Common Stock | FTax withholdingDisposed | −16,670 | $139.15 | −$2,319,630.5 | 96,864 | Direct | |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −10,000 | $141.00 | −$1,410,000 | 86,864 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 13, 2023 | Common Stock | MOption exerciseDisposed | −15,942 | $0.00 | $0 | 0 | Direct | |
| Jan 13, 2023 | Common Stock | MOption exerciseDisposed | −16,103 | $0.00 | $0 | 16,103 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each restricted stock unit represents a contingent right to receive one share of JPMC common stock.
Referenced by the price of 2 transactions in Table I.