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UNITED STATES

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 (date of earliest event reported): April 22, 2020

 

JPMorgan Chase & Co.

(Exact name of registrant as specified in its charter)

 

Delaware

  

1-5805

  

13-2624428

(State or other jurisdiction of

incorporation or organization)

  

(Commission File Number)

  

(I.R.S. employer

identification no.)

         

383 Madison Avenue, New York, New York

  

 

10179

         

(Address of principal executive offices)

  

 

(Zip Code)

Registrant’s telephone number, including area code: (212) 270-6000

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

  

Trading Symbol(s)

  

Name of each exchange on which registered

         

Common stock

  

JPM

  

The New York Stock Exchange

         

Depositary Shares, each representing a one-four hundredth interest in a share of
6.10% Non-Cumulative Preferred Stock, Series AA

  

JPM PR G

  

The New York Stock Exchange

         

Depositary Shares, each representing a one-four hundredth interest in a share of
6.15% Non-Cumulative Preferred Stock, Series BB

  

JPM PR H

  

The New York Stock Exchange

         

Depositary Shares, each representing a one-four hundredth interest in a share of
5.75% Non-Cumulative Preferred Stock, Series DD

  

JPM PR D

  

The New York Stock Exchange

         

Depositary Shares, each representing a one-four hundredth interest in a share of
6.00% Non-Cumulative Preferred Stock, Series EE

  

JPM PR C

  

The New York Stock Exchange

         

Depositary Shares, each representing a one-four hundredth interest in a share of
4.75% Non-Cumulative Preferred Stock, Series GG

  

JPM PR J

  

The New York Stock Exchange

         

Alerian MLP Index ETNs due May 24, 2024

  

AMJ

  

NYSE Arca, Inc.

         

Guarantee of Callable Step-Up Fixed Rate Notes due April 26, 2028 of JPMorgan
Chase Financial Company LLC

  

JPM/28

  

The New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

Item 8.01. Other Events

On April 22, 2020, JPMorgan Chase & Co. closed public offerings of $3,500,000,000 aggregate principal amount of Fixed-to-Floating Rate Notes due 2026, $2,750,000,000 aggregate principal amount of Fixed-to-Floating Rate Notes due 2031, $1,500,000,000 aggregate principal amount of Fixed-to-Floating Rate Notes due 2041 and $2,250,000,000 aggregate principal amount of Fixed-to-Floating Rate Notes due 2051 (collectively, the “Notes”). The Notes were registered under the Securities Act of 1933, as amended, pursuant to a registration statement on Form S-3 (File No. 333-230098), as amended. In connection with this offering, the legal opinion as to the legality of the Notes is being filed as Exhibit 5.1 to this report.

Item 9.01. Financial Statements and Exhibits

(d) Exhibits

         
 

  5.1

   

Opinion of Simpson Thacher & Bartlett LLP as to the legality of the $3,500,000,000 aggregate principal amount of Fixed-to-Floating Rate Notes due 2026, $2,750,000,000 aggregate principal amount of Fixed-to-Floating Rate Notes due 2031, $1,500,000,000 aggregate principal amount of Fixed-to-Floating Rate Notes due 2041 and $2,250,000,000 aggregate principal amount of Fixed-to-Floating Rate Notes due 2051.

         
 

23.1

   

Consent of Simpson Thacher & Bartlett LLP (included as part of Exhibit 5.1).

         
 

101

   

Pursuant to Rule 406 of Regulation S-T, the cover page is formatted in Inline XBRL (Inline eXtensible Business Reporting Language).

         
 

104

   

Cover Page Interactive Data File (embedded within the Inline XBRL document and included in Exhibit 101).

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.

JPMORGAN CHASE & CO.

(Registrant)

     

By:

 

/s/ Jordan A. Costa

Name:

 

Jordan A. Costa

Title:

 

Managing Director

Dated: April 22, 2020