JPMORGAN CHASE & CO
For the period ended Sep 30, 2024. Filed Oct 30, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2024 · Filed Oct 30, 2024
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Item 5. Other Information
Trading arrangements
The following table provides information concerning Rule 10b5-1 trading arrangements (as defined in Item 408 of Regulation S-K under the Securities Exchange Act of 1934) adopted in the third quarter of 2024, by any director or officer who is subject to the filing requirements of Section 16 of the Securities Exchange Act of 1934 ("Section 16 Director or Officer"). These trading arrangements are intended to satisfy the affirmative defense of Rule 10b5-1(c). Certain of the Firm's Section 16 Directors or Officers may participate in employee stock purchase plans, 401(k) plans or dividend reinvestment plans of the Firm that have been designed to comply with Rule 10b5-1(c). No non-Rule 10b5-1 trading arrangements (as defined in Item 408 of Regulation S-K under the Securities Exchange Act of 1934) were adopted by any Section 16 Director or Officer during the third quarter of 2024. Additionally, no Rule 10b5-1 or non-Rule 10b5-1 trading arrangements were terminated by any Section 16 Director or Officer in the third quarter of 2024.
| Name | Title | Adoption date | Duration(b) | Aggregate number of shares to be sold(c) |
|---|---|---|---|---|
| Ashley Bacon | Chief Risk Officer | August 7, 2024 | August 7, 2024 – March 31, 2025 | 50% of the net issued shares received as a result of RSUs vesting on January 13, 2025 |
| Mary Erdoes | CEO, AWM | August 1, 2024 | August 1, 2024 – March 31, 2025 | 50% of the net issued shares received as a result of RSUs vesting on January 13, 2025 |
| Stacey Friedman | General Counsel | August 6, 2024 | August 6, 2024 – March 31, 2025 | 50% of the net issued shares received as a result of RSUs vesting on January 13, 2025 |
| Marianne Lake(a) | CEO, CCB | July 31, 2024 | July 31, 2024 – March 31, 2025 | 50% of the net issued shares received as a result of RSUs vesting on January 13, 2025 |
(a)Transaction by trust of which Ms. Lake has either a direct or indirect pecuniary interest.
(b)Sales under the trading arrangement will not commence until completion of the required cooling off period under Rule 10b5-1. Subject to compliance with Rule 10b5-1, duration could cease earlier than the final date shown above to the extent that the aggregate number of shares to be sold under the trading arrangement have been sold.
(c)The aggregate number of shares to be sold pursuant to each trading agreement is dependent on the terms and conditions of, and taxes on, the applicable RSUs, and therefore, is indeterminable at this time.
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