RBBN

SEC source: 0001062993-25-009789 · form4.xml · derivative · entry 4

Redington Dan · CIK 0001967463 · EVP, Global Sales

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,388

Underlying: Common Stock · 84,388 shares

Expires not disclosed

F4 · derivative.exercise_price: The RSUs vest as to one-half on May 15, 2026; the remaining one-half of the RSUs will vest in two equal semi-annual installments thereafter through May 15, 2027.

F4 · derivative.exercise_date: The RSUs vest as to one-half on May 15, 2026; the remaining one-half of the RSUs will vest in two equal semi-annual installments thereafter through May 15, 2027.

F4 · derivative.expiration_date: The RSUs vest as to one-half on May 15, 2026; the remaining one-half of the RSUs will vest in two equal semi-annual installments thereafter through May 15, 2027.

SEC source: 0001062993-25-009789 · form4.xml · derivative · entry 3

Redington Dan · CIK 0001967463 · EVP, Global Sales

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Common Stock · 78,125 shares

Expires not disclosed

F1 · derivative.exercise_price: These RSUs convert to Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest as to one-third on May 15, 2026; the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through May 15, 2028.

F3 · derivative.expiration_date: The RSUs vest as to one-third on May 15, 2026; the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through May 15, 2028.

SEC source: 0001062993-25-009788 · form4.xml · derivative · entry 7

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,654

Underlying: Common Stock · 60,654 shares

Expires not disclosed

F7 · derivative.exercise_price: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock. The number of PSUs earned and issuable upon vesting will be determined based on goals (set by the Compensation Committee on an annual basis) for the fiscal year ending December 31, 2026. The aggregate number of shares issued may range from zero shares to 150% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2027.

F7 · derivative.exercise_date: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock. The number of PSUs earned and issuable upon vesting will be determined based on goals (set by the Compensation Committee on an annual basis) for the fiscal year ending December 31, 2026. The aggregate number of shares issued may range from zero shares to 150% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2027.

F7 · derivative.expiration_date: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock. The number of PSUs earned and issuable upon vesting will be determined based on goals (set by the Compensation Committee on an annual basis) for the fiscal year ending December 31, 2026. The aggregate number of shares issued may range from zero shares to 150% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2027.

SEC source: 0001062993-25-009788 · form4.xml · derivative · entry 6

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F6 · derivative.exercise_price: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock, based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ending prior to the vesting date. The aggregate number of shares issued may range from zero shares to 200% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2028.

F6 · derivative.exercise_date: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock, based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ending prior to the vesting date. The aggregate number of shares issued may range from zero shares to 200% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2028.

F6 · derivative.expiration_date: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock, based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ending prior to the vesting date. The aggregate number of shares issued may range from zero shares to 200% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2028.

SEC source: 0001062993-25-009788 · form4.xml · derivative · entry 5

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock. The number of PSUs earned and issuable upon vesting will be determined based on goals (set by the Compensation Committee on an annual basis) for each of the three fiscal years prior to the vesting date. The aggregate number of shares issued may range from zero shares to 150% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2028.

F5 · derivative.exercise_date: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock. The number of PSUs earned and issuable upon vesting will be determined based on goals (set by the Compensation Committee on an annual basis) for each of the three fiscal years prior to the vesting date. The aggregate number of shares issued may range from zero shares to 150% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2028.

F5 · derivative.expiration_date: Each PSU represents a contingent right to receive one share of the Issuer's Common Stock. The number of PSUs earned and issuable upon vesting will be determined based on goals (set by the Compensation Committee on an annual basis) for each of the three fiscal years prior to the vesting date. The aggregate number of shares issued may range from zero shares to 150% of the target number of shares reported in columns 5, 7 and 9 of Table II. The number of PSUs reported in columns 5, 7 and 9 of Table II reflects achievement at the target level of performance. This PSU will vest on May 15, 2028.

SEC source: 0001062993-25-009788 · form4.xml · derivative · entry 4

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,485

Underlying: Common Stock · 105,485 shares

Expires not disclosed

F4 · derivative.exercise_price: The RSUs vest as to one-half on May 15, 2026; the remaining one-half of the RSUs will vest in two equal semi-annual installments thereafter through May 15, 2027.

F4 · derivative.exercise_date: The RSUs vest as to one-half on May 15, 2026; the remaining one-half of the RSUs will vest in two equal semi-annual installments thereafter through May 15, 2027.

F4 · derivative.expiration_date: The RSUs vest as to one-half on May 15, 2026; the remaining one-half of the RSUs will vest in two equal semi-annual installments thereafter through May 15, 2027.

SEC source: 0001062993-25-009788 · form4.xml · derivative · entry 3

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F1 · derivative.exercise_price: These RSUs convert to Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest as to one-third on May 15, 2026; the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through May 15, 2028.

F3 · derivative.expiration_date: The RSUs vest as to one-third on May 15, 2026; the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through May 15, 2028.

SEC source: 0001062993-25-007787 · form4.xml · derivative · entry 6

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,367 shares

Expires not disclosed

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_price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The RSUs were granted on April 18, 2022 and originally vested as to one-third on April 18, 2023; the remaining two-thirds of the RSUs vested in four equal semi-annual installments thereafter through April 18, 2025.

F4 · derivative.expiration_date: The RSUs were granted on April 18, 2022 and originally vested as to one-third on April 18, 2023; the remaining two-thirds of the RSUs vested in four equal semi-annual installments thereafter through April 18, 2025.

SEC source: 0001062993-25-007787 · form4.xml · nonDerivative · entry 4

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307,399

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting.

SEC source: 0001062993-25-007787 · form4.xml · nonDerivative · entry 3

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 316,971

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 · price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

SEC source: 0001062993-25-007788 · form4.xml · derivative · entry 6

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,354 shares

Expires not disclosed

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_price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The RSUs were granted on April 18, 2022 and vested as to one-third on April 18, 2023; the remaining two-thirds of the RSUs vested in four equal semi-annual installments thereafter through April 18, 2025.

F4 · derivative.expiration_date: The RSUs were granted on April 18, 2022 and vested as to one-third on April 18, 2023; the remaining two-thirds of the RSUs vested in four equal semi-annual installments thereafter through April 18, 2025.

SEC source: 0001062993-25-007788 · form4.xml · nonDerivative · entry 4

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 362,382

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting.

SEC source: 0001062993-25-007788 · form4.xml · nonDerivative · entry 3

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 367,636

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 · price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

SEC source: 0001062993-25-007786 · form4.xml · derivative · entry 6

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,709 shares

Expires not disclosed

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_price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The RSUs were granted on April 18, 2022 and vested as to one-third on April 18, 2023; the remaining two-thirds of the RSUs will vested in four equal semi-annual installments thereafter through April 18, 2025.

F4 · derivative.expiration_date: The RSUs were granted on April 18, 2022 and vested as to one-third on April 18, 2023; the remaining two-thirds of the RSUs will vested in four equal semi-annual installments thereafter through April 18, 2025.

SEC source: 0001062993-25-007786 · form4.xml · nonDerivative · entry 4

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 412,304

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting.

SEC source: 0001062993-25-007786 · form4.xml · nonDerivative · entry 3

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 426,601

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 · price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

SEC source: 0001062993-25-007787 · form4.xml · derivative · entry 5

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,304

Underlying: Common Stock · 20,653 shares

Expires not disclosed

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_price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs were granted on April 17, 2023 and originally vested as to one-third on April 17, 2024; the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through April 17, 2026.

F3 · derivative.expiration_date: The RSUs were granted on April 17, 2023 and originally vested as to one-third on April 17, 2024; the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through April 17, 2026.

SEC source: 0001062993-25-007787 · form4.xml · nonDerivative · entry 2

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,604

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting.

SEC source: 0001062993-25-007787 · form4.xml · nonDerivative · entry 1

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 304,856

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 · price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

SEC source: 0001062993-25-007789 · form4.xml · derivative · entry 3

McClelland Bruce William · CIK 0001424201 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,841

Underlying: Common Stock · 34,420 shares

Expires not disclosed

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_price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs were granted on April 17, 2023 and originally vested as to one-third on April 17, 2024; the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through April 17, 2026.

F3 · derivative.expiration_date: The RSUs were granted on April 17, 2023 and originally vested as to one-third on April 17, 2024; the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through April 17, 2026.

SEC source: 0001062993-25-007789 · form4.xml · nonDerivative · entry 2

McClelland Bruce William · CIK 0001424201 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,314,339

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting.

SEC source: 0001062993-25-007789 · form4.xml · nonDerivative · entry 1

McClelland Bruce William · CIK 0001424201 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,327,883

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 · price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

SEC source: 0001062993-25-007790 · form4.xml · derivative · entry 3

Redington Dan · CIK 0001967463 · EVP, Global Sales

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,141

Underlying: Common Stock · 18,071 shares

Expires not disclosed

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_price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs were granted on April 17, 2023 and originally vested as to one-third on April 17, 2024; the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through April 17, 2026.

F3 · derivative.expiration_date: The RSUs were granted on April 17, 2023 and originally vested as to one-third on April 17, 2024; the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through April 17, 2026.

SEC source: 0001062993-25-007790 · form4.xml · nonDerivative · entry 2

Redington Dan · CIK 0001967463 · EVP, Global Sales

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151,383

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting.

SEC source: 0001062993-25-007790 · form4.xml · nonDerivative · entry 1

Redington Dan · CIK 0001967463 · EVP, Global Sales

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,493

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 · price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

SEC source: 0001062993-25-007788 · form4.xml · derivative · entry 5

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,234 shares

Expires not disclosed

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_price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs were originally granted on April 17, 2023 and vested as to one-half on April 17, 2024; the remaining half of the RSUs vested in two equal installments thereafter on October 17, 2024 and April 17, 2025.

F3 · derivative.expiration_date: The RSUs were originally granted on April 17, 2023 and vested as to one-half on April 17, 2024; the remaining half of the RSUs vested in two equal installments thereafter on October 17, 2024 and April 17, 2025.

SEC source: 0001062993-25-007788 · form4.xml · nonDerivative · entry 2

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 354,282

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting.

SEC source: 0001062993-25-007788 · form4.xml · nonDerivative · entry 1

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 363,424

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 · price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

SEC source: 0001062993-25-007786 · form4.xml · derivative · entry 5

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,631

Underlying: Common Stock · 25,815 shares

Expires not disclosed

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_price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs were granted on April 17, 2023 and originally vested as to one-third on April 17, 2024; the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through April 17, 2026.

F3 · derivative.expiration_date: The RSUs were granted on April 17, 2023 and originally vested as to one-third on April 17, 2024; the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through April 17, 2026.

SEC source: 0001062993-25-007786 · form4.xml · nonDerivative · entry 2

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 399,892

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting.

SEC source: 0001062993-25-007786 · form4.xml · nonDerivative · entry 1

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 413,710

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 · price: Each Restricted Stock Unit (RSU) converts into common stock on a one-for-one basis.

SEC source: 0001062993-25-007634 · form4.xml · nonDerivative · entry 1

GRAYSON BRUNS H · CIK 0001204899 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 690,048

F1 · kind: Represents shares issued in lieu of receipt of cash fees for service on the Registrant's Board of Directors and committees thereof.

F2 · price: Price determined in accordance with Registrant's Non-Employee Director Compensation Policy.

SEC source: 0000019617-25-000335 · primary_doc.xml · nonDerivative · entry 2

JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 52,036,572

SEC source: 0000019617-25-000335 · primary_doc.xml · nonDerivative · entry 1

JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 52,036,586

SEC source: 0001062993-25-005803 · form4.xml · derivative · entry 5

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,239 shares

Expires not disclosed

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_price: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.

F2 · derivative.expiration_date: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.

SEC source: 0001062993-25-005803 · form4.xml · nonDerivative · entry 4

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 284,203

F3 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the PSUs.

SEC source: 0001062993-25-005803 · form4.xml · nonDerivative · entry 3

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307,250

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 · security: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F4 · price: The number of PSUs earned and issued upon vesting was determined based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of the pre-established TSR goal, 100% of the shares subject to the PSU award were earned and vested on March 15, 2025.

SEC source: 0001062993-25-005803 · form4.xml · nonDerivative · entry 2

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,804

F3 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the PSUs.

SEC source: 0001062993-25-005803 · form4.xml · nonDerivative · entry 1

Macken Patrick W · CIK 0001641965 · EVP, CLO & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 268,398

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 · security: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F2 · price: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.

SEC source: 0001062993-25-005801 · form4.xml · derivative · entry 6

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64,308 shares

Expires not disclosed

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_price: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The number of PSUs earned and issued upon vesting was determined based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of the pre-established TSR goal, 100% of the shares subject to the PSU award were earned and vested on March 15, 2025.

F4 · derivative.expiration_date: The number of PSUs earned and issued upon vesting was determined based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of the pre-established TSR goal, 100% of the shares subject to the PSU award were earned and vested on March 15, 2025.

SEC source: 0001062993-25-005801 · form4.xml · derivative · entry 5

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,799 shares

Expires not disclosed

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_price: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.

F2 · derivative.expiration_date: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.

SEC source: 0001062993-25-005801 · form4.xml · nonDerivative · entry 4

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 387,895

F3 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the PSUs.

SEC source: 0001062993-25-005801 · form4.xml · nonDerivative · entry 3

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 422,319

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 · security: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F4 · price: The number of PSUs earned and issued upon vesting was determined based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of the pre-established TSR goal, 100% of the shares subject to the PSU award were earned and vested on March 15, 2025.

SEC source: 0001062993-25-005801 · form4.xml · nonDerivative · entry 2

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 358,011

F3 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the PSUs.

SEC source: 0001062993-25-005801 · form4.xml · nonDerivative · entry 1

Bucci Sam · CIK 0001824854 · EVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,568

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 · security: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F2 · price: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.

SEC source: 0001062993-25-005800 · form4.xml · derivative · entry 6

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,154 shares

Expires not disclosed

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_price: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The number of PSUs earned and issued upon vesting was determined based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of the pre-established TSR goal, 100% of the shares subject to the PSU award were earned and vested on March 15, 2025.

F4 · derivative.expiration_date: The number of PSUs earned and issued upon vesting was determined based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of the pre-established TSR goal, 100% of the shares subject to the PSU award were earned and vested on March 15, 2025.

SEC source: 0001062993-25-005800 · form4.xml · derivative · entry 5

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,399 shares

Expires not disclosed

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_price: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.

F2 · derivative.expiration_date: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.

SEC source: 0001062993-25-005800 · form4.xml · nonDerivative · entry 3

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,122

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 · security: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F4 · price: The number of PSUs earned and issued upon vesting was determined based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of a peer index of companies (set by the Compensation Committee at the time of grant) over the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of the pre-established TSR goal, 100% of the shares subject to the PSU award were earned and vested on March 15, 2025.

SEC source: 0001062993-25-005800 · form4.xml · nonDerivative · entry 2

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 320,968

F3 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the PSUs.

SEC source: 0001062993-25-005800 · form4.xml · nonDerivative · entry 1

Marmurek Eric S · CIK 0001720721 · SVP, CAO & Deputy CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 328,289

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 · security: Each Performance Share Unit (PSU) converts into common stock on a one-for-one basis.

F2 · price: The number of PSUs earned and issued upon vesting was determined based on goals (set by the Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") on an annual basis) for each of the three fiscal years ended December 31, 2024. Based on the Compensation Committee's determination of achievement of these pre-established financial goals, 32% and 70% of the shares subject to the 2023 and 2024 financial periods, respectively, were earned and vested on March 15, 2025, and no shares were earned for the 2022 performance period and were forfeited.