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) 09/21/2004 |
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 | 262,860.4293 | D | |
Common Stock | 2,213.5661 | I | By 401(k) |
Common Stock | 60 | I | By Spouse |
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 | ||||
Stock Appreciation Right | (1) | 02/11/2014 | Common Stock | 75,076 | $39.96 | D | |
Stock Options (Right to Buy) | 01/17/2003(2) | 01/17/2012 | Common Stock | 107,769 | $36.85 | D | |
Stock Options (Right to Buy) | 01/18/2002(3) | 01/18/2011 | Common Stock | 17,572 | $51.22 | D | |
Stock Options (Rights to Buy) | 01/16/1997(4) | 01/15/2006 | Common Stock | 12,000 | $19.1875 | D | |
Stock Options (Rights to Buy) | 01/21/1998(5) | 01/21/2007 | Common Stock | 15,000 | $30.7709 | D | |
Stock Options (Rights to Buy) | (6) | 01/18/2011 | Common Stock | 175,713 | $51.22 | D |
Explanation of Responses: |
1. Vests in two equal annual installments beginning January 25, 2006. |
2. Vests 100% on 1/17/2003. |
3. Vests annually in fourths beginning on January 18, 2002. |
4. Vested annually in thirds beginning on January 16, 1997. |
5. Vested annually in thirds beginning on January 21,1998. |
6. 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. |
Remarks: |
By: /s/ Anthony Horan under POA | 09/30/2004 | |
** 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. |