JPMORGAN CHASE & CO
For the period ended Sep 30, 2026. Filed Nov 3, 2026.
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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, 2026 · Filed Nov 3, 2026
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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 2026, by any director or officer who is subject to the filing requirements of Section 16 of the Securities Exchange Act of 1934 (each a "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 2026. 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 2026.
| Name | Title | Adoption date | Duration(a) | Aggregate number of shares to be sold(b) |
|---|---|---|---|---|
| Ashley Bacon | Chief Risk Officer | August 6, 2026 | August 6, 2026 – March 31, 2027 | 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027 |
| Jeremy Barnum | Chief Financial Officer | July 24, 2026 | July 24, 2026 – March 31, 2027 | 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027 |
| Lori Beer | Chief Information Officer | August 12, 2026 | August 12, 2026 – March 31, 2027 | 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027 |
| Mary Erdoes | CEO, AWM | August 6, 2026 | August 6, 2025 – March 31, 2027 | 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027 |
| Stacey Friedman | General Counsel | July 24, 2026 | July 24, 2026 – March 31, 2027 | 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027 |
| Robin Leopold | Head of Human Resources | August 14, 2026 | August 14, 2026 – March 31, 2027 | 1,177 shares and 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027 |
| Douglas Petno | Co-President;CEO, CIB | July 25, 2026 | July 25, 2026 – March 31, 2027 | 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027 |
| Jennifer Piepszak | Chief Operating Officer | July 30, 2026 | July 30, 2026 – March 31, 2027 | 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027 |
(a)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.
(b)Unless otherwise stated, the aggregate number of shares to be sold pursuant to each trading arrangement 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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