Pinto Daniel E

SEC source: 0001225208-21-005947 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,385.8894

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 · shares: These shares represent JPMC common stock (including reinvested dividend equivalents) acquired on Mar. 25, 2021 upon settlement of a Performance Share Unit (PSU) award granted on Jan. 17, 2017 for the 3-year performance period ended Dec. 31, 2019 (as previously disclosed on a Form 4 filed on Mar. 19, 2020). Mr. Pinto's PSUs are expected to vest in five equal installments and settle in shares of common stock on Mar. 25, 2020, 2021, 2022, 2023 & 2024. The 1st and 2nd installments settled in shares of common stock on Mar. 25, 2020 and 2021, respectively. Shares, after applicable tax withholding, must be held for an additional holding period following the vesting of each installment as provided under the terms of the PSU award granted on Jan. 17, 2017: (i) a 2-year holding period for the installment vested on Mar. 25, 2020; (ii) a 12-month holding period for the installment vested on Mar. 25, 2021; and (iii) a 6-month holding period for installments vesting on Mar. 25, 2022, 2023 & 2024.

F2 · price: Each PSU represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

SEC source: 0001225208-21-005577 · doc4.xml · derivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,614

Underlying: Common Stock · 97,614 shares

Expires 2025-03-25

F1 · derivative.exercise_price: Each Performance Share Unit (PSU) represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

F2 · shares: Represents PSUs earned based on the Firm's attainment of pre-established performance goals for the 3-year performance period ended Dec. 31, 2020. Mr. Pinto's PSUs are expected to vest in 5 equal installments and will settle on: March 25, 2021, 2022, 2023, 2024, and 2025 and will be reported in Form 4 filings. In accordance with the terms of the PSUs, the Board's Compensation & Management Development Committee (CMDC) has certified the Firm's absolute and relative performance against the pre-established performance goals for the performance period and has determined that the maximum amount of the previously granted PSUs has been earned. Under rules applicable in the U.K., Mr. Pinto's PSU award is subject to an assessment of his qualitative performance in determining the ultimate number of PSUs that will vest. As such, the CMDC has determined that no downward adjustment will be made to his payout on his qualitative performance during the performance period.

F3 · derivative.exercise_date: Shares delivered, after applicable tax withholding, must be held for an additional holding period following the vesting of each installment as provided under the terms of the PSU award granted on January 16, 2018: (i) a two-year holding period for the installment vesting on March 25, 2021; and (ii) a twelve-month holding period for installments vesting on March 25, 2022, 2023, 2024, and 2025.

F3 · derivative.expiration_date: Shares delivered, after applicable tax withholding, must be held for an additional holding period following the vesting of each installment as provided under the terms of the PSU award granted on January 16, 2018: (i) a two-year holding period for the installment vesting on March 25, 2021; and (ii) a twelve-month holding period for installments vesting on March 25, 2022, 2023, 2024, and 2025.

SEC source: 0001225208-21-001006 · doc4.xml · derivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,291

Underlying: Common Stock · 69,291 shares

Expires 2028-01-13

F1 · security: Consistent with last year, Restricted Stock Units (RSUs) represent 50% of Mr. Pinto's incentive compensation for performance year 2020, with the remaining 50% awarded in the form of Performance Share Units (PSUs). Also consistent with last year, Mr. Pinto did not receive variable compensation in the form of cash. Mr. Pinto is designated as Identified Staff subject to the minimum compensation structure of the European Union's Capital Requirements Directive IV (CRD IV) and receives a fixed cash allowance in addition to base salary.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of JPMC common stock. For the purposes of determining the number of RSUs and PSUs granted to Mr. Pinto, the Firm has established a grant date fair value per unit that takes into account that these awards do not carry the right to dividends or dividend equivalents prior to vesting, in accordance with local regulations.

F3 · kind: 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 results. In addition, all equity awards granted in 2021 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 Operating Committee members are also subject to additional Protection-based Vesting provisions under which awards may be cancelled, any determination with respect to which is subject to ratification by the Compensation & Management Committee of the Board of Directors. Furthermore, Mr. Pinto's equity incentives are subject to additional recapture provisions as applicable to the Firm's relevant U.K. regulated CRD IV Identified Staff.

F4 · derivative.exercise_date: RSUs vest 20% on each of the following dates: January 13, 2024, January 13, 2025, January 13, 2026, January 13, 2027, and January 13, 2028. The shares resulting from vesting are subject to a hold for 12 months from vesting date.

SEC source: 0001225208-21-000859 · doc4.xml · derivative · entry 5

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,944

Underlying: Common Stock · 12,736 shares

Expires 2025-01-13

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 represents a contingent right to receive one share of JPMC common stock.

F3 · derivative.exercise_date: Restricted stock units vest 20% on each of the following dates: January 13, 2021, January 13, 2022, January 13, 2023, January 13, 2024, and January 13, 2025. As Identified Staff, shares resulting from vesting must be held for 12 months from vesting date.

SEC source: 0001225208-21-000859 · doc4.xml · derivative · entry 4

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,091

Underlying: Common Stock · 12,696 shares

Expires 2024-01-13

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 represents a contingent right to receive one share of JPMC common stock.

F2 · derivative.exercise_date: Restricted stock units vest 20% on each of the following dates: January 13, 2020, January 13, 2021, January 13, 2022, January 13, 2023, and January 13, 2024. As Identified Staff, shares resulting from vesting must be held for 6 months from vesting date.

SEC source: 0001225208-21-000859 · doc4.xml · nonDerivative · entry 3

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,877

SEC source: 0001225208-21-000859 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 516,831

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 represents a contingent right to receive one share of JPMC common stock.

SEC source: 0001225208-21-000859 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,135

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 represents a contingent right to receive one share of JPMC common stock.

SEC source: 0001225208-20-012514 · doc4.xml · derivative · entry 3

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 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.

SEC source: 0001225208-20-012514 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 491,399

SEC source: 0001225208-20-012514 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 544,078

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.

SEC source: 0001225208-20-005646 · doc4.xml · derivative · entry 3

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,039.9029

Underlying: Common Stock · 20,508.8894 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.

F2 · derivative.exercise_price: Each PSU represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

F3 · shares: Represents PSUs earned (including reinvested dividend equivalents) based on the Firm's attainment of pre-established performance goals for the three-year performance period ended December 31, 2019, as provided under the terms of a PSU award granted on January 17, 2017, and as previously reported on a Form 4 filed on March 19, 2020. Mr. Pinto's PSUs are expected to vest in five equal installments and settle in shares of common stock on: March 25, 2020, 2021, 2022, 2023, and 2024. The first installment settled in shares of common stock on March 25, 2020. Shares delivered, after applicable tax withholding, must be held for an additional holding period following the vesting of each installment: (i) a two-year holding period for the installment vesting on March 25, 2020; (ii) a one-year holding period for the installment vesting on March 25, 2021; and (iii) a six-month holding period for installments vesting on March 25, 2022, 2023 and 2024.

F3 · derivative.exercise_date: Represents PSUs earned (including reinvested dividend equivalents) based on the Firm's attainment of pre-established performance goals for the three-year performance period ended December 31, 2019, as provided under the terms of a PSU award granted on January 17, 2017, and as previously reported on a Form 4 filed on March 19, 2020. Mr. Pinto's PSUs are expected to vest in five equal installments and settle in shares of common stock on: March 25, 2020, 2021, 2022, 2023, and 2024. The first installment settled in shares of common stock on March 25, 2020. Shares delivered, after applicable tax withholding, must be held for an additional holding period following the vesting of each installment: (i) a two-year holding period for the installment vesting on March 25, 2020; (ii) a one-year holding period for the installment vesting on March 25, 2021; and (iii) a six-month holding period for installments vesting on March 25, 2022, 2023 and 2024.

F3 · derivative.expiration_date: Represents PSUs earned (including reinvested dividend equivalents) based on the Firm's attainment of pre-established performance goals for the three-year performance period ended December 31, 2019, as provided under the terms of a PSU award granted on January 17, 2017, and as previously reported on a Form 4 filed on March 19, 2020. Mr. Pinto's PSUs are expected to vest in five equal installments and settle in shares of common stock on: March 25, 2020, 2021, 2022, 2023, and 2024. The first installment settled in shares of common stock on March 25, 2020. Shares delivered, after applicable tax withholding, must be held for an additional holding period following the vesting of each installment: (i) a two-year holding period for the installment vesting on March 25, 2020; (ii) a one-year holding period for the installment vesting on March 25, 2021; and (iii) a six-month holding period for installments vesting on March 25, 2022, 2023 and 2024.

SEC source: 0001225208-20-005646 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469,078

SEC source: 0001225208-20-005646 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 478,717.8894

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 · shares: These shares represent JPMC common stock acquired on March 25, 2020 upon settlement of a Performance Share Unit (PSU) award granted on January 17, 2017 for the three-year performance period ended December 31, 2019 (as previously disclosed on a Form 4 filed on March 19, 2020), and must be held for an additional holding period following the vesting of each installment as provided under the terms of the PSU award granted on January 17, 2017: (i) a two-year holding period for the installment vesting on March 25, 2020; (ii) a one-year holding period for the installment vesting on March 25, 2021; and (iii) a six-month holding period for installments vesting on March 25, 2022, 2023 and 2024.

F2 · price: Each PSU represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

SEC source: 0001225208-20-005423 · doc4.xml · derivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,548.7923

Underlying: Common Stock · 102,548.7923 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Performance Share Unit (PSU) represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

F2 · shares: Represents PSUs earned (including dividend reinvestment) based on the Firm's attainment of pre-established performance goals for the 3-year performance period ended Dec. 31, 2019. Mr. Pinto's PSUs are expected to vest in 5 equal installments and will settle on: Mar. 25, 2020, 2021, 2022, 2023 and 2024 and will be reported in Form 4 filings. In accordance with the terms of the PSUs, the Board's Compensation & Management Development Committee (CMDC) has certified the Firm's absolute and relative performance against the pre-established performance goals for the performance period and has determined that the maximum amount of the previously granted PSUs has been earned. Under rules applicable in the U.K., Mr. Pinto's PSU award is subject to an assessment of his qualitative performance in determining the ultimate number of PSUs that will vest. As such, the CMDC has determined that no downward adjustment will be made to his payout on his qualitative performance during the performance period.

F3 · derivative.exercise_date: Shares delivered, after applicable tax withholding, must be held for an additional holding period following the vesting of each installment as provided under the terms of the PSU award granted on January 17, 2017: (i) a two-year holding period for the installment vesting on March 25, 2020; (ii) a one-year holding period for the installment vesting on March 25, 2021; and (iii) a six-month holding period for installments vesting on March 25, 2022, 2023 and 2024.

F3 · derivative.expiration_date: Shares delivered, after applicable tax withholding, must be held for an additional holding period following the vesting of each installment as provided under the terms of the PSU award granted on January 17, 2017: (i) a two-year holding period for the installment vesting on March 25, 2020; (ii) a one-year holding period for the installment vesting on March 25, 2021; and (iii) a six-month holding period for installments vesting on March 25, 2022, 2023 and 2024.

SEC source: 0001225208-20-001565 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

F1 · kind: Sale pursuant to 10b5-1 Plan dated February 12, 2019.

SEC source: 0001225208-20-001064 · doc4.xml · derivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,613

Underlying: Common Stock · 61,613 shares

Expires 2027-01-13

F1 · security: Consistent with last year, Restricted Stock Units (RSUs) represent 50% of Mr. Pinto's incentive compensation for performance year 2019, with the remaining 50% awarded in the form of Performance Share Units (PSUs). Also consistent with last year, Mr. Pinto did not receive variable compensation in the form of cash. Mr. Pinto is designated as Identified Staff subject to the minimum compensation structure of the European Union's Capital Requirements Directive IV (CRD IV) and receives a fixed cash allowance in addition to base salary.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of JPMC common stock. For the purposes of determining the number of RSUs and PSUs granted to Mr. Pinto, the Firm has established a grant date fair value per unit that takes into account that these awards do not carry the right to dividends or dividend equivalents prior to vesting, in accordance with local regulations.

F3 · kind: Equity incentives are subject to the JPMorgan Chase Bonus Recoupment Policy which applies in the event of a material restatement of the Firm's financials. In addition, all equity awards granted in 2020 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 awarded to Operating Committee members are also subject to additional Protection-based Vesting provisions under which awards may be cancelled, any determination with respect to which is subject to ratification by the Compensation & Management Development Committee of the Board of Directors. Furthermore, Mr. Pinto's equity incentives are subject to additional recapture provisions as applicable to the Firm's relevant U.K. regulated CRD IV Identified Staff.

F4 · derivative.exercise_date: RSUs vest 20% on each of the following dates: January 13, 2023, January 13, 2024, January 13, 2025, January 13, 2026, and January 13, 2027. The shares resulting from vesting are subject to a hold for 12 months from vesting date.

SEC source: 0001225208-20-000830 · doc4.xml · derivative · entry 4

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,787

Underlying: Common Stock · 12,696 shares

Expires 2024-01-13

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 represents a contingent right to receive one share of JPMC common stock.

F2 · derivative.exercise_date: Restricted stock units vest 20% on each of the following dates: January 13, 2020, January 13, 2021, January 13, 2022, January 13, 2023, and January 13, 2024. As Identified Staff, shares resulting from vesting must be held for 6 months from vesting date.

SEC source: 0001225208-20-000830 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 458,209

SEC source: 0001225208-20-000830 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,177

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 represents a contingent right to receive one share of JPMC common stock.

SEC source: 0001225208-19-014253 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 15,212

F1 · kind: Sale pursuant to 10b5-1 Plan dated February 12, 2019.

SEC source: 0001225208-19-013700 · doc4.xml · derivative · entry 4

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,000 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.

F1 · 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.

SEC source: 0001225208-19-013700 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 451,481

SEC source: 0001225208-19-013700 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 507,590

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.

SEC source: 0001225208-19-013513 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 79,410

F1 · kind: Sale pursuant to 10b5-1 Plan dated February 12, 2019.

SEC source: 0001225208-19-005838 · doc4.xml · derivative · entry 4

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 163,780.301 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.

F2 · derivative.exercise_price: Each Performance Share Unit represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

F3 · shares: Represents Performance Share Units (PSUs) earned (including reinvested dividend equivalents) based on the Company's attainment of pre-established performance goals for the three-year performance period ended December 31, 2018, as provided under the terms of a PSU award granted on January 19, 2016, and as previously reported on a Form 4 filed on March 21, 2019. The PSUs settled in shares of common stock on March 25, 2019. Shares delivered, after applicable tax withholding, must be held for an additional two-year period, for a total combined vesting and holding period of five years from the date of grant.

F3 · derivative.exercise_date: Represents Performance Share Units (PSUs) earned (including reinvested dividend equivalents) based on the Company's attainment of pre-established performance goals for the three-year performance period ended December 31, 2018, as provided under the terms of a PSU award granted on January 19, 2016, and as previously reported on a Form 4 filed on March 21, 2019. The PSUs settled in shares of common stock on March 25, 2019. Shares delivered, after applicable tax withholding, must be held for an additional two-year period, for a total combined vesting and holding period of five years from the date of grant.

F3 · derivative.expiration_date: Represents Performance Share Units (PSUs) earned (including reinvested dividend equivalents) based on the Company's attainment of pre-established performance goals for the three-year performance period ended December 31, 2018, as provided under the terms of a PSU award granted on January 19, 2016, and as previously reported on a Form 4 filed on March 21, 2019. The PSUs settled in shares of common stock on March 25, 2019. Shares delivered, after applicable tax withholding, must be held for an additional two-year period, for a total combined vesting and holding period of five years from the date of grant.

SEC source: 0001225208-19-005838 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 422,590

SEC source: 0001225208-19-005838 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 499,567.301

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 · shares: These shares represent JPMC common stock acquired on March 25, 2019 upon settlement of a Performance Share Unit award granted on January 19, 2016 for the three-year performance period ended December 31, 2018 (as previously disclosed on a Form 4 filed on March 21, 2019), and must be held for an additional two-year period, for a total combined vesting and holding period of five years from the date of grant.

F2 · price: Each Performance Share Unit represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

SEC source: 0001225208-19-005678 · doc4.xml · derivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,780.301

Underlying: Common Stock · 163,780.301 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Performance Share Unit represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

F2 · shares: Represents Performance Share Units (PSUs) earned (including reinvested dividend equivalents) based on the Company's attainment of pre-established performance goals for the three-year performance period ended December 31, 2018. The PSUs are expected to vest and settle in shares of common stock on March 25, 2019 which will be reported in a later Form 4 filing. The Company previously reported in a Current Report on Form 8-K filed on January 21, 2016 that certain Executive Officers' compensation for performance year 2015 included variable compensation comprised partly of the PSUs reported. In accordance with the terms of the PSUs, the Compensation & Management Development Committee of the Board of Directors has certified the Company's absolute and relative performance against the pre-established performance goals for the performance period and has determined that the maximum amount of the previously granted PSUs has been earned.

F3 · derivative.exercise_date: Shares delivered, after applicable tax withholding, must be held for an additional two-year period, for a total combined vesting and holding period of five years from the date of grant, as provided under the terms of the Performance Share Unit award granted on January 19, 2016.

F3 · derivative.expiration_date: Shares delivered, after applicable tax withholding, must be held for an additional two-year period, for a total combined vesting and holding period of five years from the date of grant, as provided under the terms of the Performance Share Unit award granted on January 19, 2016.

SEC source: 0001225208-19-000945 · doc4.xml · derivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,586

Underlying: Common Stock · 83,586 shares

Expires 2026-01-13

F1 · security: Consistent with last year, Restricted Stock Units (RSUs) represent 50% of Mr. Pinto's incentive compensation for performance year 2018, with the remaining 50% awarded in the form of Performance Share Units (PSUs). Also consistent with last year, Mr. Pinto did not receive variable compensation in the form of cash. Mr. Pinto is designated as Identified Staff subject to the minimum compensation structure of the European Union's Capital Requirements Directive IV (CRD IV) and receives a fixed cash allowance in addition to base salary.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of JPMC common stock. For the purposes of determining the number of RSUs and PSUs granted to Mr. Pinto, the Firm has established a grant date fair value per unit that takes into account that these awards do not carry the right to dividends or dividend equivalents prior to vesting, in accordance with local regulations.

F3 · kind: Equity incentives are subject to the JPMorgan Chase Bonus Recoupment Policy which applies in the event of a material restatement of the Firm's financials. In addition, all equity awards granted in 2019 contain recapture provisions that enable the Firm to cancel an unvested or un-exercisable award and/or recover the value of certain stock distributed under the award in specified circumstances. In addition to recapture provisions, portions of equity awards awarded to Operating Committee members are also subject to additional Protection-based Vesting provisions under which awards may be cancelled, any determination with respect to which is subject to ratification by the Compensation & Management Development Committee of the Board of Directors. Furthermore, Mr. Pinto's equity incentives are subject to additional recapture provisions as apply to the Firm's relevant U.K. regulated CRD IV Identified Staff.

F4 · derivative.exercise_date: RSUs vest 20% on each of the following dates: January 13, 2022, January 13, 2023, January 13, 2024, January 13, 2025, and January 13, 2026. The shares resulting from vesting are subject to a hold for 12 months from vesting date.

SEC source: 0001225208-19-000892 · doc4.xml · derivative · entry 4

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,733 shares

Expires 2019-01-13

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 represents a contingent right to receive one share of JPMC common stock.

F2 · derivative.exercise_date: Restricted stock units vest 50% on January 13, 2018 and 50% on January 13, 2019. As Identified Staff, shares resulting from vesting must be held for 6 months from vesting date.

SEC source: 0001225208-19-000892 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,787

SEC source: 0001225208-19-000892 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Co-President & COO, CEO CIB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,632

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 represents a contingent right to receive one share of JPMC common stock.

SEC source: 0001225208-18-001230 · doc4.xml · derivative · entry 1

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,680

Underlying: Common Stock · 63,680 shares

Expires 2025-01-13

F1 · security: Consistent with last year, Restricted Stock Units (RSUs) represent 50% of Mr. Pinto's incentive compensation for performance year 2017, with the remaining 50% awarded in the form of Performance Share Units (PSUs). Also consistent with last year, Mr. Pinto did not receive variable compensation in the form of cash. Mr. Pinto is designated as Identified Staff subject to the minimum compensation structure of the European Union Capital Requirements Directive IV (CRD IV) and receives a fixed cash allowance in addition to base salary.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of JPMC common stock. For the purposes of determining the number of RSUs and PSUs granted to Mr. Pinto, the Firm has established a grant date fair value per unit that takes into account that these awards do not carry the right to dividends or dividend equivalents prior to vesting, in accordance with local regulations.

F3 · kind: Equity incentives are subject to the JPMorgan Chase Bonus Recoupment Policy which applies in the event of a material restatement of the Firm's financials. In addition, all equity awards granted in 2018 contain recapture provisions that enable the Firm to cancel an unvested or un-exercisable award and/or recover the value of certain stock distributed under the award in specified circumstances. In addition to recapture provisions, portions of equity awards awarded to Operating Committee members are also subject to additional Protection-based Vesting provisions under which awards may be cancelled, any determination with respect to which is subject to ratification by the Compensation & Management Development Committee of the Board of Directors. Furthermore, Mr. Pinto's equity incentives are subject to additional recapture provisions as apply to the Firm's relevant U.K. regulated CRD IV Identified Staff.

F4 · derivative.exercise_date: RSUs vest 20% on each of the following dates: January 13, 2021, January 13, 2022, January 13, 2023, January 13, 2024, and January 13, 2025. The shares resulting from vesting are subject to a hold for 12 months from vesting date.

SEC source: 0001225208-18-001147 · doc4.xml · derivative · entry 6

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,733

Underlying: Common Stock · 50,733 shares

Expires 2019-01-13

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 represents a contingent right to receive one share of JPMC common stock.

F3 · derivative.exercise_date: Restricted stock units vest 50% on January 13, 2018 and 50% on January 13, 2019. As Identified Staff, shares resulting from vesting must be held for 6 months from vesting date.

SEC source: 0001225208-18-001147 · doc4.xml · derivative · entry 5

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,717 shares

Expires 2018-01-13

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 represents a contingent right to receive one share of JPMC common stock.

F2 · derivative.exercise_date: Restricted stock units vest 50% on January 13, 2017 and 50% on January 13, 2018. As Identified Staff, shares resulting from vesting must be held for 6 months from vesting date.

SEC source: 0001225208-18-001147 · doc4.xml · nonDerivative · entry 3

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,899

SEC source: 0001225208-18-001147 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,031

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 represents a contingent right to receive one share of JPMC common stock.

SEC source: 0001225208-18-001147 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,298

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 represents a contingent right to receive one share of JPMC common stock.

SEC source: 0001225208-17-001316 · doc4.xml · derivative · entry 10

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 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.

F5 · 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.

SEC source: 0001225208-17-001316 · doc4.xml · nonDerivative · entry 6

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,581

SEC source: 0001225208-17-001316 · doc4.xml · nonDerivative · entry 5

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 388,193

F2 · kind: Sale pursuant to 10b5-1 Plan dated November 11, 2016.

SEC source: 0001225208-17-001316 · doc4.xml · nonDerivative · entry 4

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 428,626

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.

SEC source: 0001225208-17-001356 · doc4.xml · derivative · entry 1

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,483

Underlying: Common Stock · 63,483 shares

Expires 2024-01-13

F1 · security: Restricted Stock Units (RSUs) represent 50% of the Reporting Person's equity-based compensation for performance year 2016, with the remaining 50% awarded in the form of Performance Share Units (PSUs), consistent with last year. In addition, Mr. Pinto is designated as Identified Staff subject to the compensation limits of the European Union Capital Requirements Directive IV (CRD IV). As a result, Mr. Pinto did not receive variable compensation in the form of cash for 2016.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of JPMC common stock.

F3 · kind: Equity incentives are subject to the JPMorgan Chase Bonus Recoupment Policy which applies in the event of a material restatement of the Firm's financials. In addition, all equity awards granted in 2017 contain recapture provisions that enable the Firm to cancel an unvested or unexercisable award and/or recover the value of certain stock distributed under the award in specified circumstances. In addition to recapture provisions, portions of equity awards awarded to Operating Committee members are also subject to additional Protection-based Vesting provisions under which awards may be cancelled, any determination with respect to which is subject to ratification by the Compensation & Management Development Committee of the Board of Directors (Committee). In the case of an award to the CEO, all such determinations shall be made by the Committee. In addition, Mr. Pinto's equity incentives are subject to the Firm's clawback policy for Identified Staff.

F4 · derivative.exercise_date: Restricted stock units vest 20% on each of the following dates: January 13, 2020, January 13, 2021, January 13, 2022, January 13, 2023, and January 13, 2024. As Identified Staff, shares resulting from vesting must be held for 6 months from vesting date.

SEC source: 0001225208-17-001316 · doc4.xml · derivative · entry 9

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,717

Underlying: Common Stock · 85,716 shares

Expires 2018-01-13

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 represents a contingent right to receive one share of JPMC common stock.

F4 · derivative.exercise_date: Restricted stock units vest 50% on January 13, 2017 and 50% on January 13, 2018. Shares resulting from vesting must be held for 6 months from vesting date.

SEC source: 0001225208-17-001316 · doc4.xml · derivative · entry 8

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,117 shares

Expires 2017-01-13

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 represents a contingent right to receive one share of JPMC common stock.

F3 · derivative.exercise_date: Restricted stock units vest 50% on July 25, 2015 and 50% on January 13, 2017. Shares resulting from vesting must be held for 6 months from vesting date.

SEC source: 0001225208-17-001316 · doc4.xml · nonDerivative · entry 3

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,626

SEC source: 0001225208-17-001316 · doc4.xml · nonDerivative · entry 2

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,708

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 represents a contingent right to receive one share of JPMC common stock.

SEC source: 0001225208-17-001316 · doc4.xml · nonDerivative · entry 1

Pinto Daniel E · CIK 0001555174 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,591

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 represents a contingent right to receive one share of JPMC common stock.

SEC source: 0001225208-16-031514 · doc4.xml · derivative · entry 4

Pinto Daniel E · CIK 0001555174 · Managing Director

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.

F1 · 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.