144 1 mike144.htm MC SALE UNITED STATES

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

Michael J. Cavanagh

Chief Financial Officer

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 Stock
$1 par Value

J.P. Morgan Securities Inc.
345 Park Avenue, 6th Floor
New York, NY 10154

  

32,073 (1)

$1,539,504.73

As of March 31, 2010: 3,975,356,492 shares of common stock excluding 129,577,403 shares held in the Corporation's treasury

April 15, 2010

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 Stock
$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.

32,073

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
         

REMARKS: (1) Sale pursuant to Rule 10b5-1 Plan dated February 11, 2010.

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 15, 2010

  

/s/ Anthony J. Horan, under POA on behalf of Michael J. Cavanagh

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)