| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | JPM | Common Stock | Sale | -$2.35M | -11.7K | -8.73% | $200.02 | 123K | May 14, 2024 | By GRATs | F1 |
| holding | JPM | Common Stock | 78.7K | May 14, 2024 | Direct | F1 | |||||
| holding | JPM | Common Stock | 19.6K | May 14, 2024 | By Family Trust | F1 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Balance reflects a) 5,845 shares transferred from a Grantor Retained Annuity Trust ("GRAT") to the Grantor on April 29, 2024; b) 372 shares trasnferred from a GRAT to the Grantor's Family Trust on April 29, 2024; c) 18,002 shares transferred from a GRAT to the Grantor on May 9, 2024; and d) 40,000 shares transferred from the Grantor for funding of a Grantor Retained Annuity Trust on May 10, 2024. These transfers are exempt from Section 16 pursuant to Rule 16a-13. |
poalake.txt