SEC Form 3
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*
Lake Marianne

(Last) (First) (Middle)
JPMORGAN CHASE & CO.
270 PARK AVENUE

(Street)
NEW YORK NY 10017-2070

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2013
3. Issuer Name and Ticker or Trading Symbol
JPMORGAN CHASE & CO [ JPM ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 743.0295 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Restricted Stock Units (1) 01/13/2013 Common Stock 7,062 (2) D
Restricted Stock Units (3) 01/13/2014 Common Stock 16,259 (2) D
Restricted Stock Units (4) 01/13/2015 Common Stock 17,976 (2) D
Stock Appreciation Rights (5) 01/20/2019 Common Stock 50,000 19.49 D
Stock Appreciation Rights (6) 01/18/2022 Common Stock 84,365 35.61 D
Stock Appreciation Rights (7) 02/11/2014 Common Stock 9,160 39.96 D
Stock Appreciation Rights (8) 01/20/2020 Common Stock 100,000 43.2 D
Stock Appreciation Rights (9) 01/19/2021 Common Stock 65,000 44.29 D
Stock Appreciation Rights (10) 10/18/2017 Common Stock 25,000 45.79 D
Stock Appreciation Rights (11) 10/19/2016 Common Stock 25,000 46.79 D
Explanation of Responses:
1. Restricted stock units vest 50% on January 13, 2012 and 50% on January 13, 2013.
2. Each restricted stock unit represents a contingent right to receive one share of JPMC common stock.
3. Restricted stock units vest 50% on January 13, 2013 and 50% on January 13, 2014.
4. Restricted stock units vest 50% on January 13, 2014 and 50% on January 13, 2015.
5. Stock Appreciation Rights, which have a ten-year term, become exercisable in five equal annual installments beginning January 20, 2010. Shares resulting from exercise must be held at least 5 years from the grant date.
6. Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 18, 2013. Shares resulting from exercise must be held at least five years from the grant date.
7. Stock Appreciation Rights, which have a ten-year term, became exercisable in full on January 25, 2006.
8. Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 20, 2011. Shares resulting from exercise must be held at least five years from the grant date.
9. Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 19, 2012. Shares resulting from exercise must be held at least five years from the grant date.
10. Stock Appreciation Rights vest and become exercisable in five equal annual installments beginning October 18, 2008. Shares resulting from exercise must be held at least 5 years from the grant date.
11. Stock Appreciate Rights vest and become exercisable in three equal annual installments beginning October 19, 2009. Shares resulting from exercise must be held at least 5 years from the grant date.
Remarks:
poaml.txt
/s/ Anthony Horan under POA 01/09/2013
** 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).
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