Smith Gordon

SEC source: 0001225208-26-008107 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,221.253

SEC source: 0001193125-26-306937 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,736.07

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $105.86 to $106.69, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001225208-26-006372 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,521.628

SEC source: 0001193125-26-239317 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,713.47

F1 · kind: Restricted stock will vest in three annual installments beginning on the first anniversary of the grant date.

SEC source: 0001193125-26-158646 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,143.47

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $117.43 to $117.80, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001225208-26-004203 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,045

SEC source: 0001225208-26-001358 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,869

SEC source: 0001193125-26-015196 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,130.03

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $108.21 to $108.39, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001311487-26-000002 · form4.xml · derivative · entry 2

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,549

Underlying: Humana Common · 766 shares

Expires not disclosed

F1 · derivative.exercise_price: Annual Director's fee payable in stock units which have been deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Includes 766 restricted stock units which represent a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.

F1 · derivative.exercise_date: Annual Director's fee payable in stock units which have been deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Includes 766 restricted stock units which represent a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.

F1 · derivative.expiration_date: Annual Director's fee payable in stock units which have been deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Includes 766 restricted stock units which represent a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.

F1 · balance_after: Annual Director's fee payable in stock units which have been deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Includes 766 restricted stock units which represent a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.

SEC source: 0001311487-26-000002 · form4.xml · derivative · entry 4

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10

Underlying: Humana Common · 10 shares

Expires not disclosed

F3 · derivative.exercise_price: Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).

F3 · derivative.exercise_date: Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).

F3 · derivative.expiration_date: Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).

F3 · balance_after: Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).

SEC source: 0001311487-26-000002 · form4.xml · derivative · entry 3

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500

Underlying: Humana Common · 122 shares

Expires not disclosed

F2 · derivative.exercise_price: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F2 · derivative.exercise_date: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F2 · derivative.expiration_date: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F2 · balance_after: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

SEC source: 0001311487-25-000007 · form4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 765

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: 0001193125-25-243494 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,115.47

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $101.36 to $101.57, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001311487-25-000005 · form4.xml · derivative · entry 3

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 378

Underlying: Humana Common · 124 shares

Expires not disclosed

F3 · derivative.exercise_price: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F3 · derivative.exercise_date: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F3 · derivative.expiration_date: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

SEC source: 0000950170-25-096556 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,099.96

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $133.08 to $133.74, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000950170-25-094180 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,090.81

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $131.54 to $132.08, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001062993-25-012434 · form4.xml · derivative · entry 3

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 254

Underlying: Humana Common · 136 shares

Expires not disclosed

F3 · derivative.exercise_price: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F3 · derivative.exercise_date: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F3 · derivative.expiration_date: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

SEC source: 0000950170-25-074049 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,876.81

F1 · kind: Restricted stock will vest in three annual installments beginning on the first anniversary of the grant date.

SEC source: 0000950170-25-055561 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,511.81

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $126.40 to $127.03, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001062993-25-006787 · form4.xml · derivative · entry 3

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118

Underlying: Humana Common · 118 shares

Expires not disclosed

F3 · derivative.exercise_price: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F3 · derivative.exercise_date: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

F3 · derivative.expiration_date: Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person during a designated enrollment period in the year preceding the reported transactions. Stock units will be payable in Humana Inc. common stock on a 1-for-1basis, exempt pursuant to Rule 16(b)-3(d)(1), per the Director's election.

SEC source: 0000950170-25-007322 · ownership.xml · nonDerivative · entry 2

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,505.02

F2 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $142.74 to $142.96, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000950170-25-007322 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,504.73

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $142.97 to $143.97, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001062993-25-000091 · form4.xml · derivative · entry 2

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 783

Underlying: Humana Common · 783 shares

Expires not disclosed

F2 · derivative.exercise_price: Annual Director's fee payable in stock units which have been deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Includes 783 restricted stock units which represent a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.

F2 · derivative.exercise_date: Annual Director's fee payable in stock units which have been deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Includes 783 restricted stock units which represent a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.

F2 · derivative.expiration_date: Annual Director's fee payable in stock units which have been deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Includes 783 restricted stock units which represent a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.

F2 · balance_after: Annual Director's fee payable in stock units which have been deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Includes 783 restricted stock units which represent a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.

SEC source: 0001062993-24-018286 · form4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 765

F1 · security: Right to receive one share per restricted stock unit pursuant to the Company's 2019 Amended & Restated Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F2 · shares: Initial award of $200,000 worth of restricted stock units pursuant to the annual Director Compensation Program. Award will be forfeited in its entirety if service is less than one year.

SEC source: 0000950170-24-115215 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,499.04

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $134.59 to $134.76, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000950170-24-084126 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,492.68

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $126.12 to $126.95, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000950170-24-076598 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,485.93

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $117.02 to $117.18, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0000950170-24-062322 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,311.93

F1 · kind: Restricted stock will vest in three annual installments beginning on the first anniversary of the grant date.

SEC source: 0000950170-24-045858 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,040.93

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $118.28 to $119.48, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000950170-24-005284 · ownership.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,038.59

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $114.75 to $114.96, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-23-053061 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,036.17

F1 · price: Weighted average price, as these shares were purchased in multiple transactions at prices ranging from $125.02 to $125.29, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-23-050256 · doc4.xml · nonDerivative · entry 2

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,033.96

SEC source: 0001209191-23-050256 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,032.96

SEC source: 0001209191-23-043285 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,482.96

SEC source: 0001209191-23-031311 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,482

F1 · kind: Restricted stock will vest in three annual installments beginning on the first anniversary of the grant date.

SEC source: 0001209191-22-032125 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,236

F1 · kind: Restricted stock will vest in three annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-21-005946 · doc4.xml · derivative · entry 5

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 84,222.555 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, 2020, as provided under the terms of a PSU award granted on January 16, 2018, and as previously reported on a Form 4 filed on March 18, 2021. The PSUs settled in shares of common stock on March 25, 2021. 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 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, 2020, as provided under the terms of a PSU award granted on January 16, 2018, and as previously reported on a Form 4 filed on March 18, 2021. The PSUs settled in shares of common stock on March 25, 2021. 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 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, 2020, as provided under the terms of a PSU award granted on January 16, 2018, and as previously reported on a Form 4 filed on March 18, 2021. The PSUs settled in shares of common stock on March 25, 2021. 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: 0001225208-21-005946 · doc4.xml · nonDerivative · entry 2

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508,751

SEC source: 0001225208-21-005946 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 551,831.555

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, 2021 upon settlement of a Performance Share Unit (PSU) award granted on January 16, 2018 for the three-year performance period ended December 31, 2020 (as previously disclosed on a Form 4 filed on March 18, 2021), 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 PSU represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

SEC source: 0001225208-21-005579 · doc4.xml · derivative · entry 1

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,222.555

Underlying: Common Stock · 84,222.555 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 reinvested dividend equivalents) based on the Firm's attainment of pre-established performance goals for the three-year performance period ended December 31, 2020. The PSUs are expected to vest and settle in shares of common stock on March 25, 2021, which will be reported in a later Form 4 filing. In accordance with the terms of the PSUs, the Board's Compensation & Management Development Committee 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.

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 PSU award granted on January 16, 2018.

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 PSU award granted on January 16, 2018.

SEC source: 0001225208-21-001004 · doc4.xml · derivative · entry 4

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,855

Underlying: Common Stock · 46,855 shares

Expires 2024-01-13

F2 · security: Consistent with last year, Restricted Stock Units (RSUs) represent 50% of the Reporting Person's equity-based compensation for performance year 2020, with the remaining 50% awarded in the form of Performance Share Units (PSUs).

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of JPMC common stock.

F4 · 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 Development Committee of the Board of Directors.

F5 · derivative.exercise_date: RSUs vest 50% on January 13, 2023 and 50% on January 13, 2024.

SEC source: 0001225208-21-001004 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 467,609

F1 · kind: Sale pursuant to 10b5-1 Plan dated October 26, 2020.

SEC source: 0001225208-21-000861 · doc4.xml · derivative · entry 7

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,706

Underlying: Common Stock · 31,705 shares

Expires 2022-01-13

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, 2021 and 50% on January 13, 2022.

SEC source: 0001225208-21-000861 · doc4.xml · derivative · entry 6

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,724 shares

Expires 2021-01-13

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, 2020 and 50% on January 13, 2021.

SEC source: 0001225208-21-000861 · doc4.xml · nonDerivative · entry 3

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 507,793

F2 · balance_after: Balance reflects a transfer of 16,525 shares from a Grantor Retained Annuitry Trust to the Grantor on July 30, 2020. This transfer is exempt from Section 16 pursuant to Rule 16a-13.

SEC source: 0001225208-21-000861 · doc4.xml · nonDerivative · entry 2

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,132

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: 0001225208-21-000861 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,408

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: 0001225208-20-005647 · doc4.xml · derivative · entry 5

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 104,977.2108 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. The PSUs settled in shares of common stock on March 25, 2020. 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 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. The PSUs settled in shares of common stock on March 25, 2020. 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 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. The PSUs settled in shares of common stock on March 25, 2020. 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: 0001225208-20-005647 · doc4.xml · nonDerivative · entry 2

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462,178

SEC source: 0001225208-20-005647 · doc4.xml · nonDerivative · entry 1

Smith Gordon · CIK 0001311487 · Co-President & COO, CEO CCB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,874.2108

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 two-year period, for a total combined vesting and holding period of five years from the date of grant.

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.