JPMORGAN CHASE & CO
For the period ended Dec 31, 2024. Filed Feb 14, 2025.
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FY2024 · Filed Feb 14, 2025
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Item 9B. Other Information
Director and executive officer 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 fourth quarter of 2024 by any director or any 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 fourth 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 fourth quarter of 2024.
| Name | Title | Adoption date | Duration(c) | Aggregate number of shares to be sold |
|---|---|---|---|---|
| Lori Beer | Chief Information Officer | November 15, 2024 | November 15, 2024 - March 31, 2025 | 4,105 |
| James Dimon(a) | Chairman and CEO | November 7, 2024 | November 7, 2024 - August 1, 2025 | 1,000,000 |
| Robin Leopold | Head of Human Resources | November 4, 2024 | November 4, 2024 - December 31, 2025 | 2,500 |
| Jennifer Piepszak(b) | Co-CEO, CIB | October 30, 2024 | October 30, 2024 - March 31, 2025 | 8,545 |
| Troy Rohrbaugh | Co-CEO, CIB | November 15, 2024 | November 15, 2024 - June 30, 2025 | 75,000 |
(a)Transaction by trusts and an entity of which Mr. Dimon has either a direct or indirect pecuniary interest.
(b)On January 14, 2025, JPMorganChase announced that Ms. Piepszak became a Chief Operating Officer of the Firm, effective January 14, 2025.
(c)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.
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