-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UgF+eEpVhuNCaABRaHNbCdIetIF8cH/qhSgjTVe25/CnylyIktp278g0A1Kdcub4 3muj3lGO0ESl32q+9Ot2BQ== 0000019617-04-000346.txt : 20040930 0000019617-04-000346.hdr.sgml : 20040930 20040930120225 ACCESSION NUMBER: 0000019617-04-000346 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040921 FILED AS OF DATE: 20040930 DATE AS OF CHANGE: 20040930 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCCREE DONALD H III CENTRAL INDEX KEY: 0001197619 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05805 FILM NUMBER: 041054571 BUSINESS ADDRESS: STREET 1: J.P. MORGAN CHASE & CO. STREET 2: 270 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 MAIL ADDRESS: STREET 1: C/O J.P. MORGAN CHASE & CO. STREET 2: 270 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: J P MORGAN 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: 270 PARK AVE STREET 2: 39TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122706000 MAIL ADDRESS: STREET 1: 270 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 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 FORMER COMPANY: FORMER CONFORMED NAME: CHEMICAL NEW YORK CORP DATE OF NAME CHANGE: 19880508 3 1 mcc511.xml X0202 3 2004-09-21 0 0000019617 J P MORGAN CHASE & CO JPM 0001197619 MCCREE DONALD H III 270 PARK AVENUE NEW YORK NY 100172070 0 1 0 0 Managing Director Common Stock 262860.4293 D Common Stock 2213.5661 I By 401(k) Common Stock 60 I By Spouse Stock Appreciation Right 39.9600 2014-02-11 Common Stock 75076 D Stock Options (Right to Buy) 36.8500 2003-01-17 2012-01-17 Common Stock 107769 D Stock Options (Right to Buy) 51.2200 2002-01-18 2011-01-18 Common Stock 17572 D Stock Options (Rights to Buy) 19.1875 1997-01-16 2006-01-15 Common Stock 12000 D Stock Options (Rights to Buy) 30.7709 1998-01-21 2007-01-21 Common Stock 15000 D Stock Options (Rights to Buy) 51.2200 2011-01-18 Common Stock 175713 D Vests in two equal annual installments beginning January 25, 2006. Vests 100% on 1/17/2003. Vests annually in fourths beginning on January 18, 2002. Vested annually in thirds beginning on January 16, 1997. Vested annually in thirds beginning on January 21,1998. These options were granted pursuant to the Growth Performance Incentive Program under the Corporation's Long Term Incentive 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 the Investment Bank achieves cumulative Shareholder Value Added total of $5.2 billion for 2001 and 2002 (IB Goal). If the foregoing EPS goal is not achieved, 30% will become exercisable on 1/25/2003 if the IB Goal has been achieved. All options that do not become exercisable on 1/25/2003 will become exercisable on 1/18/2007. By: /s/ Anthony Horan under POA 2004-09-30 -----END PRIVACY-ENHANCED MESSAGE-----