# EDGAR Filing Document

**Accession Number:** 0001566079
**File Stem:** 0001225208-23-004275
**Filing Date:** 2023-3
**Character Count:** 7614
**Document Hash:** 8a6fd30140c3801a8a5a9d3150a1883b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001225208-23-004275.hdr.sgml**: 20230328

**ACCESSION NUMBER**: 0001225208-23-004275

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230325

**FILED AS OF DATE**: 20230328

**DATE AS OF CHANGE**: 20230328

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Lake Marianne
- **CENTRAL INDEX KEY:** 0001566079

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-05805
- **FILM NUMBER:** 23769818

**MAIL ADDRESS:**
- **STREET 1:** JPMORGAN CHASE & CO.
- **STREET 2:** 270 PARK AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** JPMORGAN CHASE & CO
- **CENTRAL INDEX KEY:** 0000019617
- **STANDARD INDUSTRIAL CLASSIFICATION:** NATIONAL COMMERCIAL BANKS [6021]
- **IRS NUMBER:** 132624428
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 383 MADISON AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 2122706000

**MAIL ADDRESS:**
- **STREET 1:** 383 MADISON AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** J P MORGAN CHASE & CO
- **DATE OF NAME CHANGE:** 20010102

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CHASE MANHATTAN CORP /DE/
- **DATE OF NAME CHANGE:** 19960402

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CHEMICAL BANKING CORP
- **DATE OF NAME CHANGE:** 19920703

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Lake Marianne<br><sub>(Last) (First) (Middle)</sub><br>383 MADISON AVENUE<br><sub>(Street)</sub><br>NEW YORK, NY 10179-0001<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Co-CEO CCB_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>JPMORGAN CHASE & CO [ JPM ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-25 |  | M |  | 52380.1870<sup>(1)</sup> | A | 0<sup>(2)</sup> | 115431.1870 | D |  |
| Common Stock | 2023-03-25 |  | F |  | 28966.1870 | D | $124.3950 | 86465<sup>(3)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 11763 | I | By Family Trust |
| Common Stock |  |  |  |  |  |  |  | 137286<sup>(3)</sup> | I | By GRATs |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance Share Units | <sup>(2)</sup> | 2023-03-25 |  | M |  |  | 52380.1870<sup>(4)</sup> | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 52380.1870 | $0 | 0 | D |  |

---

### Footnotes:

(1) These shares represent JPMC common stock acquired on March 25, 2023 upon settlement of a Performance Share Unit (PSU) award granted on January 21, 2020 for the three-year performance period ended December 31, 2022 (as previously disclosed on a Form 4 filed on March 23, 2023), 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.

(2) Each PSU represents a contingent right to receive one share of JPMC common stock upon vesting based on the attainment of performance goals.

(3) Balance reflects a) 21,187 shares transferred from a Grantor Retained Annuity Trust ("GRAT") to the Grantor on February 10, 2023 and b) 45,000 shares transferred from the Grantor for funding of a Grantor Retained Annuity Trust on February 13, 2023. These transfers are exempt from Section 16 pursuant to Rule 16a-13.

(4) 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, 2022, as provided under the terms of a PSU award granted on January 21, 2020, and as previously reported on a Form 4 filed on March 23, 2023. The PSUs settled in shares of common stock on March 25, 2023. 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.

**Signature:** /s/ Holly Youngwood under POA  
**Date:** 2023-03-28

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**