FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/15/2003 |
3. Issuer Name and Ticker or Trading Symbol
J P MORGAN CHASE & CO [ JPM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 122,293.7377(1) | D | |
Common Stock | 20,191 | I | By Spouse |
Common Stock | 2,062 | I | By Spouse, as Custodian for Child |
Common Stock | 1,297 | I | By Spouse, as Custodian for Child |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Performance Accelerated RSUs(2) | 08/08/1988 | 01/25/2004 | Common Stock | 2,295 | 0.0000 | D | |
Performance Accelerated RSUs(3) | 08/08/1988 | 01/25/2004 | Common Stock | 2,297 | 0.0000 | D | |
Performance Accelerated RSUs(4) | 08/08/1988 | 01/25/2005 | Common Stock | 2,921 | 0.0000 | D | |
Performance Accelerated RSUs(5) | 08/08/1988 | 01/25/2005 | Common Stock | 2,920 | 0.0000 | D | |
Performance Accelerated RSUs(6) | 08/08/1988 | 01/25/2006 | Common Stock | 3,002 | 0.0000 | D | |
Performance Accelerated RSUs(7) | 08/08/1988 | 01/25/2006 | Common Stock | 3,002 | 0.0000 | D | |
Stock Options (Right to Buy)(8) | 08/08/1988 | 01/18/2011 | Common Stock | 117,142 | 51.22 | D | |
Stock options (Right to Buy)(9) | 01/17/2003 | 01/17/2012 | Common Stock | 97,694 | 36.85 | D | |
Stock Options (Right to Buy)(10) | 01/25/2005 | 02/12/2013 | Common Stock | 102,881 | 21.87 | D | |
Stock Options (Rights to Buy)(11) | 01/21/1998 | 01/21/2007 | Common Stock | 19,500 | 30.7709 | D | |
Stock Options (Rights to Buy)(12) | 01/20/1999 | 01/20/2008 | Common Stock | 22,500 | 35.3033 | D | |
Stock Options (Rights to Buy)(13) | 01/19/2000 | 01/19/2009 | Common Stock | 45,000 | 49 | D | |
Stock Options (Rights to Buy)(14) | 01/19/2001 | 01/19/2010 | Common Stock | 52,274 | 49.2133 | D | |
Stock Options (Rights to Buy)(15) | 01/18/2002 | 01/18/2011 | Common Stock | 51,250 | 51.22 | D |
Explanation of Responses: |
1. Reporting person also beneficially owns indirectly 20,191 shares through his spouse and 3,359 shares through his spouse as custodian for his two children. |
2. Will vest when the average of the closing stock price of common stock for ten consecutive business days equals or exceeds $73.33 but not sooner than January 25, 2000. If the target price has not been reached by January 25, 2004, the award will be forfeited. |
3. Will vest when the average of the closing stock price of common stock for ten consecutive business days equals or exceeds $83.33 but not sooner than January 25, 2002. If the target price has not been reached by January 25, 2004, the award will be forfeited. |
4. Will vest when the average of the closing stock price of common stock for ten consecutive business days equals or exceeds $73.33 but not sooner than January 25, 2001. If the target price has not been reached by January 25, 2005, the award will be forfeited. |
5. Will vest when the average of the closing stock price of common stock for ten consecutive business days equals or exceeds $83.33 but not sooner than January 25, 2003. If the target price has not been reached by January 25, 2005, the award will be forfeited. |
6. Will vest if the $75.00 target price is achieved, but not sooner than January 25, 2002. If the target price has not been reached by January 25, 2006, the award will be forfeited. |
7. Will vest if the $85.00 target price is achieved, but not sooner than January 25, 2004. If the target price has not been reached by January 25, 2006, the award will be forfeited. |
8. These options were granted pursuant to the Growth Performance Incentive Program under the Corporation's 2001 Stock Option Plan and 1/2 will become exercisable on 1/25/2003 if Cumulative Fully Diluted Cash Operating Earnings Per Share, excluding JPMorgan Partners and extraordinary events, (EPS) equals $8.50 for 2001 and 2002; an additional 1/2 will become exercisable on 1/25/2003 if EPS equals $8.50 for 2001 and 2002 and Retail & Middle Market Financial Services achieves Cumulative Shareholder Value Added of $2.1 billion for 2001 and 2002 (RMMFS Goal). If the foregoing EPS goal is not achieved, 30% will become exercisable on 1/25/2003 if the RMMFS Goal has been achieved. All options that do not become exercisable on 1/25/2003 will become exercisable on 1/18/2007. |
9. Vests annually in thirds beginning January 17, 2003. |
10. Vests annually in halves beginning January 25, 2005. |
11. Vested annually in thirds beginning on January 21,1998. |
12. Vests annually in fourths beginning on January 20, 1999. |
13. Vests annually in fourths beginning on January 19, 2000. |
14. Vests annually in fourths beginning on January 19, 2001. |
15. Vests annually in fourths beginning on January 18, 2002. |
By: /s/ James C.P. Berry, under POA on behalf of | 07/25/2003 | |
** Signature of Reporting Person | Date | |
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 5 (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. |