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AMJB

JPMORGAN CHASE & CO

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2795
SEC CIK
0000019617
Parsed reports
2,624

Last 12 months

Inside the activity.

0 purchase rows · 43 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202608
Feb 2026014
Mar 202601
Apr 202608
May 202608
Jun 202601
Jul 202600
Aug 202601
Sep 202601
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 14, 2013 Filed May 15, 2013 23:07 UTC
Erdoes Mary E.Managing Director
Exercise / conversionCommon Stock 400,000 $19.49 $7,796,000.00
Disclosure

SEC source: 0001225208-13-012392 · doc4.xml · nonDerivative · entry 1

Erdoes Mary E. · CIK 0001473446 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 554,374

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 09, 2013 Filed May 10, 2013 20:05 UTC
Cavanagh Michael JExecutive Vice President
GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-011966 · doc4.xml · nonDerivative · entry 1

Cavanagh Michael J · CIK 0001304481 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,775

Read SEC document
May 07, 2013 Filed May 7, 2013 21:29 UTC
O'Donovan MarkCorporate Controller
SaleCommon Stock 668 $48.99 $32,728.33
Disclosure

SEC source: 0001225208-13-011566 · doc4.xml · nonDerivative · entry 1

O'Donovan Mark · CIK 0001563700 · Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,547

Read SEC document
May 03, 2013 Filed May 7, 2013 21:30 UTC PurchaseCommon Stock 124,077 $47.29 $5,867,055.39
Disclosure

SEC source: 0001225208-13-011567 · doc4.xml · nonDerivative · entry 4

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (The Crown Fund)

Disclosed balance after: 6,348,649

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
May 03, 2013 Filed May 7, 2013 21:30 UTC PurchaseCommon Stock 30,200 $47.29 $1,428,025.12
Disclosure

SEC source: 0001225208-13-011567 · doc4.xml · nonDerivative · entry 3

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Henry Crown & Co)

Disclosed balance after: 3,026,854

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
May 03, 2013 Filed May 7, 2013 21:30 UTC PurchaseCommon Stock 57,300 $47.29 $2,709,464.88
Disclosure

SEC source: 0001225208-13-011567 · doc4.xml · nonDerivative · entry 2

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Crown Fund II)

Disclosed balance after: 633,905

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
May 03, 2013 Filed May 7, 2013 21:30 UTC PurchaseCommon Stock 89,900 $47.29 $4,250,975.44
Disclosure

SEC source: 0001225208-13-011567 · doc4.xml · nonDerivative · entry 1

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Areljay)

Disclosed balance after: 1,734,723

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 29, 2013 Filed Oct 24, 2013 20:10 UTC
Pinto Daniel EManaging Director
SaleCommon Stock 73,000 $48.82 $3,563,801.60
Disclosure

SEC source: 0001225208-13-022250 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,233

Read SEC document
April 25, 2013 Filed Apr 25, 2013 23:11 UTC
Erdoes Mary E.Managing Director
SaleCommon Stock 5,000 $49.08 $245,415.50
Disclosure

SEC source: 0001225208-13-010410 · doc4.xml · nonDerivative · entry 1

Erdoes Mary E. · CIK 0001473446 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,374

Read SEC document
April 24, 2013 Filed Apr 25, 2013 18:31 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionStock Appreciation Rights · Derivative 150,000 $0.00 Strike: $46.79 $0.00
Disclosure

SEC source: 0001225208-13-010358 · doc4.xml · derivative · entry 6

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires 2016-10-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: SARs vest and become exercisable in three equal annual installments beginning October 19, 2009.

Read SEC document
April 24, 2013 Filed Apr 25, 2013 18:31 UTC
Bisignano FrankCo-Chief Operating Officer
Tax withholdingCommon Stock 147,397 $48.54 $7,154,650.38
Disclosure

SEC source: 0001225208-13-010358 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,305

Read SEC document
April 24, 2013 Filed Apr 25, 2013 18:31 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionCommon Stock 150,000 $46.79 $7,018,500.00
Disclosure

SEC source: 0001225208-13-010358 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,702

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 23, 2013 Filed Apr 23, 2013 22:39 UTC
Cutler Stephen MGeneral Counsel
SaleCommon Stock 15,000 $48.00 $720,000.00
Disclosure

SEC source: 0001225208-13-010267 · doc4.xml · nonDerivative · entry 1

Cutler Stephen M · CIK 0001388539 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,509

F1 · kind: Shares sold pursuant to Rule 10b5-1 plan dated January 25, 2013.

Read SEC document
April 23, 2013 Filed Apr 24, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionStock Appreciation Rights · Derivative 89,507 $0.00 Strike: $43.20 $0.00
Disclosure

SEC source: 0001225208-13-010304 · doc4.xml · derivative · entry 11

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,672

Underlying: Common Stock · 89,507 shares

Expires 2020-01-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 20, 2011. Shares resulting from exercise must be held at least five years from the grant date.

Read SEC document
April 23, 2013 Filed Apr 24, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionStock Appreciation Rights · Derivative 30,769 $0.00 Strike: $44.29 $0.00
Disclosure

SEC source: 0001225208-13-010304 · doc4.xml · derivative · entry 10

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,155

Underlying: Common Stock · 30,769 shares

Expires 2021-01-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 19, 2012. Shares resulting from exercise must be held at least five years from the grant date.

Read SEC document
April 23, 2013 Filed Apr 24, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionStock Appreciation Rights · Derivative 6,243 $0.00 Strike: $35.61 $0.00
Disclosure

SEC source: 0001225208-13-010304 · doc4.xml · derivative · entry 9

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,972

Underlying: Common Stock · 6,243 shares

Expires 2022-01-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 18, 2013. Shares resulting from exercise must be held at least five years from the grant date.

Read SEC document
April 23, 2013 Filed Apr 24, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
Tax withholdingCommon Stock 120,501 $47.82 $5,761,755.32
Disclosure

SEC source: 0001225208-13-010304 · doc4.xml · nonDerivative · entry 5

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,702

Read SEC document
April 23, 2013 Filed Apr 24, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionCommon Stock 6,243 $35.61 $222,313.23
Disclosure

SEC source: 0001225208-13-010304 · doc4.xml · nonDerivative · entry 4

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,203

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 23, 2013 Filed Apr 24, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionCommon Stock 30,769 $44.29 $1,362,759.01
Disclosure

SEC source: 0001225208-13-010304 · doc4.xml · nonDerivative · entry 3

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,960

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 23, 2013 Filed Apr 24, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionCommon Stock 89,507 $43.20 $3,866,702.40
Disclosure

SEC source: 0001225208-13-010304 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377,191

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 22, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 91,375 $46.98 $4,292,815.78
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 8

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (The Crown Fund)

Disclosed balance after: 6,224,572

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 22, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 58,100 $46.98 $2,729,549.62
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 6

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Henry Crown & Co)

Disclosed balance after: 2,996,654

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 22, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 6,400 $46.98 $300,673.28
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 4

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Crown Fund II)

Disclosed balance after: 576,605

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 22, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 68,500 $46.98 $3,218,143.70
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 2

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Areljay)

Disclosed balance after: 1,644,823

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 22, 2013 Filed Apr 24, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
SaleCommon Stock 40,000 $47.38 $1,895,176.00
Disclosure

SEC source: 0001225208-13-010304 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,684

Read SEC document
April 19, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 5,000 $46.99 $234,934.00
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 9

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 15,803

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 19, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 113,384 $46.99 $5,327,551.33
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 7

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (The Crown Fund)

Disclosed balance after: 6,133,197

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 19, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 54,400 $46.99 $2,556,081.92
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 5

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Henry Crown & Co)

Disclosed balance after: 2,938,554

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 19, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 10,500 $46.99 $493,361.40
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 3

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Crown Fund II)

Disclosed balance after: 570,205

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 19, 2013 Filed Apr 23, 2013 22:39 UTC PurchaseCommon Stock 29,200 $46.99 $1,372,014.56
Disclosure

SEC source: 0001225208-13-010266 · doc4.xml · nonDerivative · entry 1

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partnership (Areljay)

Disclosed balance after: 1,576,323

F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
April 18, 2013 Filed Apr 18, 2013 21:59 UTC
Cutler Stephen MGeneral Counsel
SaleCommon Stock 15,000 $46.77 $701,550.00
Disclosure

SEC source: 0001225208-13-010127 · doc4.xml · nonDerivative · entry 1

Cutler Stephen M · CIK 0001388539 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,509

F1 · kind: Shares sold pursuant to Rule 10b5-1 plan dated January 25, 2013.

Read SEC document
April 16, 2013 Filed Apr 17, 2013 20:03 UTC
Bisignano FrankCo-Chief Operating Officer
GiftCommon Stock 7,820 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-010096 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,684

Read SEC document
March 31, 2013 Filed Apr 2, 2013 17:09 UTC GrantCommon Stock 526.7594 $47.46 $25,000.00
Disclosure

SEC source: 0001225208-13-009148 · doc4.xml · nonDerivative · entry 1

BOWLES CRANDALL CLOSE · CIK 0000903518 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,586.1611

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2013 Filed Apr 2, 2013 21:09 UTC GrantCommon Stock 395.0695 $47.46 $18,750.00
Disclosure

SEC source: 0001225208-13-009149 · doc4.xml · nonDerivative · entry 1

BURKE STEPHEN B · CIK 0001203694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,604.9651

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2013 Filed Apr 2, 2013 17:09 UTC
COTE DAVID MDirector
GrantCommon Stock 395.0695 $47.46 $18,750.00
Disclosure

SEC source: 0001225208-13-009150 · doc4.xml · nonDerivative · entry 1

COTE DAVID M · CIK 0001136538 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,625.8517

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2013 Filed Apr 2, 2013 21:09 UTC GrantCommon Stock 632.1113 $47.46 $30,000.00
Disclosure

SEC source: 0001225208-13-009151 · doc4.xml · nonDerivative · entry 1

CROWN JAMES S · CIK 0001185064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,607.1507

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2013 Filed Apr 2, 2013 21:09 UTC GrantCommon Stock 395.0695 $47.46 $18,750.00
Disclosure

SEC source: 0001225208-13-009152 · doc4.xml · nonDerivative · entry 1

FLYNN TIMOTHY PATRICK · CIK 0001550322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,301.392

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2013 Filed Apr 2, 2013 21:09 UTC GrantCommon Stock 684.7872 $47.46 $32,500.00
Disclosure

SEC source: 0001225208-13-009153 · doc4.xml · nonDerivative · entry 1

JACKSON LABAN · CIK 0001202252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,298.8136

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
March 31, 2013 Filed Apr 2, 2013 21:09 UTC GrantCommon Stock 474.0834 $47.46 $22,500.00
Disclosure

SEC source: 0001225208-13-009154 · doc4.xml · nonDerivative · entry 1

RAYMOND LEE R · CIK 0001198809 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,734.727

F1 · kind: Deferral of quarterly retainer, payable in common stock following termination of service as director.

Read SEC document
February 15, 2013 Filed Feb 15, 2013 20:53 UTC
Donnelly John LDirector Human Resources
SaleCommon Stock 11,000 $49.34 $542,762.00
Disclosure

SEC source: 0001225208-13-004343 · doc4.xml · nonDerivative · entry 1

Donnelly John L · CIK 0001458126 · Director Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,583.6508

Read SEC document
February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Exercise / conversionStock Appreciation Rights · Derivative 100,000 $0.00 Strike: $46.79 $0.00
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · derivative · entry 10

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2016-10-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Stock Appreciate Rights vest and become exercisable in three equal annual installments beginning October 19, 2009. Shares resulting from exercise must be held at least 5 years from the grant date.

Read SEC document
February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Exercise / conversionStock Appreciation Rights · Derivative 100,000 $0.00 Strike: $45.79 $0.00
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · derivative · entry 9

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2017-10-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Stock Appreciation Rights vest and become exercisable in five equal annual installments beginning October 18, 2008. Shares resulting from exercise must be held at least 5 years from the grant date.

Read SEC document
February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Exercise / conversionStock Appreciation Rights · Derivative 24,000 $0.00 Strike: $43.20 $0.00
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · derivative · entry 8

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 24,000 shares

Expires 2020-01-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 20, 2011. Shares resulting from exercise must be held at least five years from the grant date.

Read SEC document
February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Exercise / conversionStock Appreciation Rights · Derivative 12,000 $0.00 Strike: $44.29 $0.00
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · derivative · entry 7

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 12,000 shares

Expires 2021-01-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 19, 2012. Shares resulting from exercise must be held at least five years from the grant date.

Read SEC document
February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Tax withholdingCommon Stock 228,809 $48.96 $11,201,344.60
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · nonDerivative · entry 5

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,006.9648

Read SEC document
February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Exercise / conversionCommon Stock 12,000 $44.29 $531,480.00
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · nonDerivative · entry 4

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,815.9648

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Exercise / conversionCommon Stock 24,000 $43.20 $1,036,800.00
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · nonDerivative · entry 3

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,815.9648

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Exercise / conversionCommon Stock 100,000 $45.79 $4,579,000.00
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · nonDerivative · entry 2

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,815.9648

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 12, 2013 Filed Feb 14, 2013 20:52 UTC
Hogan John JamesChief Risk Officer
Exercise / conversionCommon Stock 100,000 $46.79 $4,679,000.00
Disclosure

SEC source: 0001225208-13-004126 · doc4.xml · nonDerivative · entry 1

Hogan John James · CIK 0001539754 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,815.9648

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 07, 2013 Filed Feb 8, 2013 17:19 UTC
Bisignano FrankCo-Chief Operating Officer
Exercise / conversionStock Appreciation Rights · Derivative 100,000 $0.00 Strike: $38.98 $0.00
Disclosure

SEC source: 0001225208-13-003438 · doc4.xml · derivative · entry 9

Bisignano Frank · CIK 0001346629 · Co-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2015-12-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Vests in three equal annual installments beginning December 9, 2008.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.