UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | | OMB APPROVAL |
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FORM 144 | | SEC USE ONLY |
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | | DOCUMENT SEQUENCE NO. |
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or
executing a sale directly with a market maker. | | CUSIP NUMBER. |
1(a) NAME OF ISUER (Please type or print)
JPMORGAN CHASE & CO. | (b) IRS IDENT. NO.
13-2624428 | (c) S.E.C. FILE NO.
1-5805 | | WORK LOCATION |
1(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE | (e) TELEPHONE NO. |
270 Park Avenue New York NY 10017 | AREA CODE
212 | NUMBER
270-6000 |
2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD | (b) IRS IDENT. NO. | (c) RELATIONSHIP TO ISSUER | (d) ADDRESS STREET CITY STATE Zip Code |
James E. Staley | | Managing Director | 270 Park Avenue New York, NY 10017 |
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a) | (b) | SEC. USE ONLY | (c) | (d) | (e) | (f) | (g) |
Title of the Class of Securities To be Sold | Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities | Broker-Dealer File Number | Number of Shares or Other Units To Be Sold
(see Instr. 3(c)) | Aggregate Market Value
(See Instr. 3(d)) | Number of Shares or Other Units Outstanding
(See Instr. 3(e)) | Approximate Date of Sale
(See Instr. 3(f))
(MO DAY YR) | Name of Each Securities Exchange
(See Instr. (3(g)) |
Common
$1 par Value | J.P. Morgan Securities Inc.
345 Park Avenue
New York, NY 10154
| | 37,000 | $1,218,203 | As of March 31, 2009: 3,757,732,168 shares of common stock excluding 183,901,727 shares held in the Corporation's treasury | April 17, 2009 | NYSE |
INSTRUCTIONS:
1. (a) Name of issuer
(b) Issuer's I.R.S. Identification Number
(c) Issuer's S.E.C. file number, if any
(d) Issuer's address, including zip code
(e) Issuer's telephone number, including area code.
2. (a) Name of person for whose account the securities are to be sold
(b) Such person's I.R.S. identification number, if such person is an entity
(c) Such person's relationship to the issuer (e.g. officer, director, 10%
stockholder, or member of immediate family of any of the foregoing)
(d) Such person's address, including zip code. | 3. (a) Title of the class of securities to be sold
(b) Name and address of each broker through whom the securities are intended to be sold
(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the
filing of this notice
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof
outstanding, as shown by the most recent report or statement published by the issuer
(f) Approximate date on which the securities are to be sold
(g) Name of each securities exchange, if any, on which the securities are intended to be sold. |
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
SEC 1147 (01-07)
TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title of the Class | Date You Acquired |
Nature of Acquisition Transaction
| Name of Person from Whom Acquired
(if gift, also give date donor acquired) | Amount of Securities Acquired | Date of Payment |
Nature of Payment
|
Common $1 Par Value | Various | Acquired as a result of awards granted under JPMorgan Chase & Co. benefit plans. | Acquired as a result of awards granted under JPMorgan Chase & Co. benefit plans. | 37,000 | Various | Acquired as a result of awards granted under JPMorgan Chase & Co. benefit plans. |
INSTRUCTIONS: | If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. | |
_______________________________________________________________________________________
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Name and Address of Seller
|
Title of Securities Sold
|
Date of Sale
| Amount of
Securities Sold |
Gross Proceeds
|
Mellon Investor Services LLC
480 Washington Blvd.
Jersey City, NJ 07310
| Common Stock | 2/02/09 | 11,894 | $296,517 |
| | | | | |
REMARKS:
INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. | ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. |
April 17, 2009 | | /s/ Anthony J. Horan, under POA on behalf of James E. Staley |
DATE OF NOTICE | | (Signature) |
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |
SEC 1147 (01-07)
