organization · Reporting owner
J.P. Morgan Securities LLC
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Nuveen Municipal Credit Income FundNZF · Entity 1428 | 10% owner | July 28, 2017 | July 28, 2017 |
| Triangle Petroleum CorpTPLM · Entity 12249 | 10% owner | October 19, 2017 | October 30, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Nuveen Municipal Credit Income Fund
Report date July 28, 2017 · Filed July 28, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Variable Rate Demand Preferred Shares, Series 1SEC Table I · non-derivative | Direct | 422 |
Reported balance
After 2017-07-28 transaction · row 1
1 source rowRow 1 · 2017-07-28 · Sale · Disposed 363 · Balance 422 |
| Variable Rate Demand Preferred Shares, Series 2SEC Table I · non-derivative | Direct | 80 |
Reported balance
After 2017-07-28 transaction · row 2
1 source rowRow 2 · 2017-07-28 · Sale · Disposed 200 · Balance 80 |
Triangle Petroleum Corp
Report date October 19, 2017 · Filed October 30, 2017
Jointly reported with JPMORGAN CHASE & CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,613 |
Reported balance
Holding disclosure · report date 2017-10-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,613 F1: Before J.P. Morgan Securities LLC ("JPM") became subject to Section 16, JPM effected a short sale of 1 share of common stock and borrowed shares from an unaffiliated broker for delivery against the sale. The short position remains open, and therefore JPM is obligated to deliver 1 share of common stock to the lender in repayment of the stock loan. |
| 5% Convertible Promissory NotesSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 | IndirectThrough Subsidiary | Not disclosed |
Reported balance
Holding disclosure · report date 2017-10-19 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: On October 19, 2017, JPM acquired all of the outstanding convertible notes (the "Convertible Notes") of Triangle Petroleum Corporation ("Triangle") initially issued on July 31, 2012, which are convertible at any time and from time to time into shares of common stock of Triangle (the "Common Stock") at an initial conversion price of $8.00 per share (subject to customary adjustments for stock splits and recapitalizations). The Convertible Notes accrue interest at a rate of 5% per annum, compounded quarterly, to be paid on each December 31, March 31, June 30 and September 30, and on the date of any redemption, conversion or exchange of the Convertible Notes. F3: (continued from footnote 1) Such interest payments are to be paid in kind by adding the accrued interest to the principal balance of the Convertible Notes; provided, that, following July 31, 2017, Triangle has the option to make such interest payments in cash. Accordingly, as of September 30, 2017 the aggregate principal amount of Convertible Notes was $160,149,378.19. Based on an initial conversion price of $8.00 per share, $160,149,378.19 in principal amount of Convertible Notes would be convertible into 20,018,672 shares of Common Stock. F4: The Convertible Notes do not have an expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Before J.P. Morgan Securities LLC ("JPM") became subject to Section 16, JPM effected a short sale of 1 share of common stock and borrowed shares from an unaffiliated broker for delivery against the sale. The short position remains open, and therefore JPM is obligated to deliver 1 share of common stock to the lender in repayment of the stock loan.
F2: On October 19, 2017, JPM acquired all of the outstanding convertible notes (the "Convertible Notes") of Triangle Petroleum Corporation ("Triangle") initially issued on July 31, 2012, which are convertible at any time and from time to time into shares of common stock of Triangle (the "Common Stock") at an initial conversion price of $8.00 per share (subject to customary adjustments for stock splits and recapitalizations). The Convertible Notes accrue interest at a rate of 5% per annum, compounded quarterly, to be paid on each December 31, March 31, June 30 and September 30, and on the date of any redemption, conversion or exchange of the Convertible Notes.
F3: (continued from footnote 1) Such interest payments are to be paid in kind by adding the accrued interest to the principal balance of the Convertible Notes; provided, that, following July 31, 2017, Triangle has the option to make such interest payments in cash. Accordingly, as of September 30, 2017 the aggregate principal amount of Convertible Notes was $160,149,378.19. Based on an initial conversion price of $8.00 per share, $160,149,378.19 in principal amount of Convertible Notes would be convertible into 20,018,672 shares of Common Stock.
F4: The Convertible Notes do not have an expiration date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
GOODRICH PETROLEUM CORP
Report date August 22, 2017 · Filed August 23, 2017
Jointly reported with JPMORGAN CHASE & CO
Section 16 reporting ended · disclosed 2017-08-23. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 28, 2017 Filed Jul 28, 2017 22:43 UTC | Nuveen Municipal Credit Income Fund NZF · Entity 1428 | SaleVariable Rate Demand Preferred Shares, Series 2 | 200 | $100,000.00 | $20,000,000.00 |
DisclosureSEC source: 0000899243-17-019325 · doc4.xml · nonDerivative · entry 2 J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80 Read SEC document |
| July 28, 2017 Filed Jul 28, 2017 22:43 UTC | Nuveen Municipal Credit Income Fund NZF · Entity 1428 | SaleVariable Rate Demand Preferred Shares, Series 1 | 363 | $100,000.00 | $36,300,000.00 |
DisclosureSEC source: 0000899243-17-019325 · doc4.xml · nonDerivative · entry 1 J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422 Read SEC document |
| July 06, 2017 Filed Jul 10, 2017 23:08 UTC | Nuveen Municipal Credit Income Fund NZF · Entity 1428 | SaleVariable Rate Demand Preferred Shares, Series 2 | 280 | $100,000.00 | $28,000,000.00 |
DisclosureSEC source: 0000899243-17-018161 · doc4.xml · nonDerivative · entry 2 J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368 Read SEC document |
| July 06, 2017 Filed Jul 10, 2017 23:08 UTC | Nuveen Municipal Credit Income Fund NZF · Entity 1428 | SaleVariable Rate Demand Preferred Shares, Series 1 | 449 | $100,000.00 | $44,900,000.00 |
DisclosureSEC source: 0000899243-17-018161 · doc4.xml · nonDerivative · entry 1 J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 405 Read SEC document |
| June 20, 2017 Filed Jun 21, 2017 19:39 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | OtherCommon Stock | 223 | $13.00 | $2,899.00 |
DisclosureSEC source: 0000899243-17-016825 · doc4.xml · nonDerivative · entry 1 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through subsidiary Disclosed balance after: 609,041 Read SEC document |
| June 19, 2017 Filed Jun 20, 2017 21:06 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | OtherCommon Stock | 40 | $13.32 | $532.80 |
DisclosureSEC source: 0000899243-17-016779 · doc4.xml · nonDerivative · entry 1 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through subsidiary Disclosed balance after: 609,264 Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 19:23 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | OtherCommon Stock | 9,930 | $13.39 | $132,962.70 |
DisclosureSEC source: 0000899243-17-016663 · doc4.xml · nonDerivative · entry 1 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through subsidiary Disclosed balance after: 609,304 Read SEC document |
| June 15, 2017 Filed Jun 16, 2017 18:48 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | OtherCommon Stock | 5,766 | $13.37 | $77,091.42 |
DisclosureSEC source: 0000899243-17-016548 · doc4.xml · nonDerivative · entry 1 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through subsidiary Disclosed balance after: 619,234 Read SEC document |
| May 26, 2017 Filed Jun 1, 2017 16:53 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | OtherWarrants to purchase Common Stock · Derivative | 625,000 | $0.01 Strike: $0.01 | $6,250.00 |
DisclosureSEC source: 0001140361-17-023272 · doc1.xml · derivative · entry 2 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through subsidiary Disclosed balance after: 0 Underlying: Common Stock · 625,000 shares Expires 2026-10-12 Read SEC document |
| May 26, 2017 Filed Jun 1, 2017 16:53 UTC | GOODRICH PETROLEUM CORP GDP · Entity 12257 | OtherCommon Stock | 625,000 | $0.01 | $6,250.00 |
DisclosureSEC source: 0001140361-17-023272 · doc1.xml · nonDerivative · entry 1 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through subsidiary Disclosed balance after: 625,000 Read SEC document |
| October 06, 2016 Filed Oct 11, 2016 20:15 UTC | Nuveen Municipal Credit Income Fund NZF · Entity 1428 | SaleVariable Rate Demand Preferred Shares, Series 2 | 648 | $100,000.00 | $64,800,000.00 |
DisclosureSEC source: 0000899243-16-031537 · doc4.xml · nonDerivative · entry 2 J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 06, 2016 Filed Oct 11, 2016 20:15 UTC | Nuveen Municipal Credit Income Fund NZF · Entity 1428 | SaleVariable Rate Demand Preferred Shares, Series 1 | 854 | $100,000.00 | $85,400,000.00 |
DisclosureSEC source: 0000899243-16-031537 · doc4.xml · nonDerivative · entry 1 J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| September 29, 2016 Filed Oct 4, 2016 23:20 UTC | Nuveen Municipal Credit Income Fund NZF · Entity 1428 | PurchaseVariable Rate Demand Preferred Shares, Series 2 | 75 | $100,000.00 | $7,500,000.00 |
DisclosureSEC source: 0000899243-16-030993 · doc4.xml · nonDerivative · entry 1 J.P. Morgan Securities LLC · CIK 0001362244 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,502 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.