-----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, FTNaehlu3wARhDSoNVzZa80XZrwAc3rWBe2z3Pb7ILt+4GG3p5y64sj3UmS9v9tf CuRE7PxAN3io66P8gJOlYg== 0000950123-02-012244.txt : 20040218 0000950123-02-012244.hdr.sgml : 20040218 20021226082446 ACCESSION NUMBER: 0000950123-02-012244 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021220 ITEM INFORMATION: Other events FILED AS OF DATE: 20021226 DATE AS OF CHANGE: 20040218 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-05805 FILM NUMBER: 02868516 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 8-K 1 y67363e8vk.txt JP MORGAN CHASE & CO. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: December 20, 2002 Commission file number 1-5805 -------- ------ J.P. MORGAN CHASE & CO. ----------------------- (Exact name of registrant as specified in its charter) DELAWARE 13-2624428 - ----------------------- ---------------- (State or other jurisdiction (I.R.S. Employer of incorporation) Identification No.) 270 PARK AVENUE, NEW YORK, NEW YORK 10017 - ----------------------------------- -------- (Address of principal executive office) (Zip Code) (Registrant's telephone number, including area code) 212-270-6000 ------------ ITEM 5. OTHER EVENTS On December 20, 2002, J.P. Morgan Chase & Co. ("JPMorgan Chase") reached an agreement in principle with the Securities and Exchange Commission, the National Association of Securities Dealers, the New York Stock Exchange, the New York State Attorney General's Office, and the North American Securities Administrators Association, on behalf of state securities regulators, to resolve their investigations of JPMorgan Chase relating to research analyst independence. Pursuant to the agreement in principle, JPMorgan Chase will agree, among other things (i) to pay $50 million for retrospective relief, (ii) to adopt internal structural and operational reforms that will further augment the steps it has already taken to ensure the integrity of JPMorgan Chase analyst research, (iii) to contribute $25 million spread over five years to provide independent third-party research to clients, and (iv) to contribute $5 million towards investor education. The settlement is subject to finalization of mutually satisfactory settlement documents and must be approved by the SEC and state regulatory authorities. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. J.P. MORGAN CHASE & CO. ----------------------- (Registrant) /s/ William H. McDavid -------------------------------------- William H. McDavid General Counsel Dated: December 24, 2002 -----END PRIVACY-ENHANCED MESSAGE-----