ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．） 外国会社臨時報告書
| 提出書類 | 外国会社臨時報告書 |
|---|---|
| 提出日 | |
| 提出者 | ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．） |
| カテゴリ | 外国会社臨時報告書 |
EDINET提出書類
ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．）(E05773)
外国会社臨時報告書
【表紙】
【提出書類】 外国会社臨時報告書
【提出先】 関東財務局長
【提出日】 2021 年５月13日
【会社名】 ジェー・ピー・モルガン・チェース・アンド・カンパニー
(JPMorgan Chase & Co.)
【代表者の役職氏名】 秘書役補佐
(Assistant Corporate Secretary)
スティーブン・B・グラント
(Stephen B. Grant)
【本店の所在の場所】 アメリカ合衆国 10179 ニューヨーク州 ニューヨーク市
マディソン・アベニュー383
(383 Madison Avenue, New York, New York 10179, U.S.A.)
【代理人の氏名又は名称】 弁 護 士 中 村 慎 二
【代理人の住所又は所在地】 東京都千代田区大手町一丁目１番１号
大手町パークビルディング
アンダーソン・毛利・友常法律事務所外国法共同事業
【電話番号】 (03)6775 －1000
【事務連絡者氏名】 弁 護 士 西 野 有 紀
同 橋 本 裕 里
同 森 真幸人
【連絡場所】 東京都千代田区大手町一丁目１番１号
大手町パークビルディング
アンダーソン・毛利・友常法律事務所外国法共同事業
(03)6775－1000
【電話番号】
【縦覧に供する場所】 該当なし
（注） 本書において、文脈上別段の解釈がなされる場合を除き、「当社」とはジェー・ピー・モルガ
ン・チェース・アンド・カンパニーを指す。
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ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．）(E05773)
外国会社臨時報告書
１ 【提出理由】
当社は、当社の3.65％固定利率更改非累積的優先株式シリーズKKの募集を報告するため、金融商品
取引法第24条の５第４項及び第15項並びに企業内容等の開示に関する内閣府令第19条第１項及び第
２項第１号の規定に基づき、以下のとおり本外国会社臨時報告書を提出いたします。
２ 【報告内容】
(Note)
1. In this document, unless the context requires otherwise, “Company” means JPMorgan Chase & Co.
2. For the convenience of the Japanese readers, the amounts presented in Japanese Yen in this report were
translated at the exchange rate of Japanese Yen (JPY) 108.77 to 1 U.S. Dollar ($), the T.T.M. rate of the
Tokyo Foreign Exchange Market on May 10, 2021. In some parts of this document, the figures in
Japanese Yen have been rounded in millions. Such conversion should not be construed as a
representation that any amounts represent, or have been or could be converted into, Japanese yen at that
or any other rate.
1. Reason for the Filing of this Report
This Report is being filed by the Company due to issuance of the Company’s 3.65% Fixed-Rate Reset
Non-Cumulative Preferred Stock, Series KK, pursuant to Article 24-5, Paragraph 4 and Paragraph 15 of
the Financial Instruments and Exchange Law and Article 19, Paragraph 1 and Paragraph 2, Item 1 of
the Ordinance of the Cabinet Office Concerning Disclosure of Information of the Companies.
2. Matters to be Reported
(1) Type and Name of Securities:
Depositary Shares, each representing a one-tenth interest in a share of JPMorgan Chase & Co. 3.65%
Fixed-Rate Reset Non-Cumulative Preferred Stock, Series KK
(2) (a) Number of the Securities Issued :
2,000,000 Depositary Shares (equivalent to 200,000 shares of Series KK Preferred Stock)
(b) Issue Price and Amount Credited to Statutory Capital Account:
Issue price: $ 1,000 (JPY 108,770) per Depositary Share
Amount credited to statutory capital account: par value of $ 1.0 (JPY 108.77) per share of Series KK
Preferred Stock
(c) Aggregate Issue Price and Total Amount Credited to Statutory Capital Account:
Aggregate issue price: $ 2,000,000,000 (JPY 217,540,000,000)
Total amount credited to statutory capital account: $ 200,000 (JPY 21,754,000)
(d) Content of Depositary Shares and Underlying Securities:
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ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．）(E05773)
外国会社臨時報告書
Liquidation Preference:
$ 10,000 per share of Series KK Preferred Stock (equivalent to $ 1,000 per
Depositary Share)
Maturity:
Perpetual (Subject to the Company’s optional redemption. See “Optional
Redemption” below.)
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ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．）(E05773)
外国会社臨時報告書
Dividend Rate (Non-
From May 12, 2021 to, but excluding, June 1, 2026 (the “First Reset
Cumulative):
Date”), 3.65% per annum, and thereafter, for each Reset Period, at a rate
equal to the Treasury Rate plus a spread of 2.85% per annum. For purposes
hereof, “Reset Period” means, initially, the period from and including the
First Reset Date to, but excluding, the next following Reset Date, and
thereafter each period from and including each Reset Date to, but
excluding, the next following Reset Date; “Reset Date” means the First
Reset Date and each subsequent date falling on the fifth anniversary of the
preceding Reset Date; and “Treasury Rate” means a dividend rate (not
inclusive of the spread of 2.85% per annum) which is based on the average
of the yields on actively traded U.S. Treasury securities adjusted to
constant maturity, for five-year maturities, determined as of the day falling
three business days prior to the beginning of the relevant Reset Period.
The Company will not declare or pay or set aside for payment full
dividends on any of our preferred stock ranking as to dividends on a parity
with or junior to the Series KK Preferred Stock for any period unless full
dividends on the shares of the Series KK Preferred Stock for the most
recently completed dividend period have been or contemporaneously are
declared and paid (or have been declared and a sum sufficient for the
payment thereof has been set aside for such payment). When dividends are
not paid in full on the Series KK Preferred Stock and any other series of
preferred stock ranking on a parity as to dividends with the Series KK
Preferred Stock, all dividends declared and paid upon the shares of the
Series KK Preferred Stock and any other series of preferred stock ranking
on a parity as to dividends with the Series KK Preferred Stock will be
declared and paid pro rata.
So long as any shares of the Series KK Preferred Stock are outstanding,
unless full dividends on all outstanding shares of the Series KK Preferred
Stock have been declared and paid or a sum sufficient for the payment
thereof set aside for such payment in respect of the most recently
completed dividend period:
• no dividend (other than a dividend in common stock or in any
other capital stock ranking junior to the Series KK Preferred
Stock as to dividends and upon liquidation, dissolution or
winding-up) will be declared or paid or a sum sufficient for the
payment thereof set aside for such payment or other distribution
declared or made upon our common stock or upon any other
capital stock ranking junior to the Series KK Preferred Stock as to
dividends or upon liquidation, dissolution or winding-up, and
• no common stock or other capital stock ranking junior to or on a
parity with the Series KK Preferred Stock as to dividends or upon
liquidation, dissolution or winding-up will be redeemed,
purchased or otherwise acquired for any consideration (or any
moneys be paid to or made available for a sinking fund for the
redemption of any shares of any such capital stock) by the
Company ,
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ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．）(E05773)
外国会社臨時報告書
subject to certain limited exceptions.
Dividend Payment Dates:
Each March 1, June 1, September 1 and December 1, beginning September
1, 2021, in each case when, as, and if declared by the Company’s board of
directors or duly authorized board committee.
Optional Redemption:
On any Dividend Payment Date on or after June 1, 2026, in whole at any
time or from time to time in part, or at any time following notice given
within 90 days after a “capital treatment event” (subject to certain
limitations) in whole but not in par t, at a redemption price equal to $ 10,000
per share of Series KK Preferred Stock (equivalent to $ 1,000 per
Depositary Share), plus any declared and unpaid dividends, without
accumulation of undeclared dividends.
Voting Rights:
The holders of the Series KK Preferred Stock and of the Depositary Shares
will not have voting rights, except as specifically required by applicable
law and except as below:
Whenever, at any time or times, dividends on the shares of Series KK
Preferred Stock have not been paid for an aggregate of six or more
dividend periods, whether or not consecutive, the authorized number of the
Company’s directors will automatically be increased by two and the
holders of the Series KK Preferred Stock will have the right, with holders
of shares of any other class or series of parity preferred stock outstanding at
the time upon which like voting rights have been conferred and are
exercisable, which we refer to as “voting parity stock,” voting together as a
class, to elect two directors, which we refer to as “preferred directors,” to
fill such newly created directorships at our next annual meeting of
stockholders and at each subsequent annual meeting of stockholders until
full dividends have been paid on the Series KK Preferred Stock for at least
four consecutive dividend periods. At that time such right will terminate,
except as expressly provided in the Certificate of Designations or by law,
subject to subsequent revesting.
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ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．）(E05773)
外国会社臨時報告書
Ranking :
The Series KK Preferred Stock will rank, as to payment of dividends and
distribution of assets upon the Company’s liquidation, dissolution or
winding-up, on a parity with any series of preferred stock ranking on a
parity with the Series KK Preferred Stock, including “Fixed-to-Floating
Rate Non-Cumulative Perpetual Preferred Stock, Series I”, “Fixed-to-
Floating Rate Non-Cumulative Preferred Stock, Series Q”, “Fixed-to-
Floating Rate Non-Cumulative Preferred Stock, Series R”, “Fixed-to-
Floating Rate Non-Cumulative Preferred Stock, Series S”, “Fixed-to-
Floating Rate Non-Cumulative Preferred Stock, Series U”, “Fixed-to-
Floating Rate Non-Cumulative Preferred Stock, Series V”, “Fixed-to-
Floating Rate Non-Cumulative Preferred Stock, Series X”, “Fixed-to-
Floating Rate Non-Cumulative Preferred Stock, Series Z”, “6.10% Non-
Cumulative Preferred Stock, Series AA”, “6.15% Non-Cumulative
Preferred Stock, Series BB”, “Fixed-to-Floating Rate Non-Cumulative
Preferred Stock, Series CC”, “5.75% Non-Cumulative Preferred Stock,
Series DD”, “6.00% Non-Cumulative Preferred Stock, Series EE”, “Fixed-
to-Floating Rate Non-Cumulative Preferred Stock, Series FF”, “4.75%
Non-Cumulative Preferred Stock, Series GG”, “Fixed-to-Floating Rate
Non-Cumulative Preferred Stock, Series HH”, “Fixed-to-Floating Rate
Non-Cumulative Preferred Stock, Series II” and “4.55% Non-Cumulative
Preferred Stock, Series JJ”, and senior to the Company’s common stock
and to any series of preferred stock ranking junior to the Series KK
Preferred Stock.
None.
Over-allotment Option :
(3) Method of Issuance:
Public offering by underwriters pursuant to the Underwriting Agreement dated May 5, 2021.
(4) Names of Underwriters:
Sole Bookrunner
J.P. Morgan Securities LLC
Co-Managers:
BBVA Securities Inc.
BNY Mellon Capital Markets, LLC
Capital One Securities, Inc.
Citizens Capital Markets, Inc.
Commonwealth Bank of Australia
ING Financial Markets LLC
Intesa Sanpaolo S.p.A.
Mizuho Securities USA LLC
MUFG Securities Americas Inc.
nabSecurities, LLC
National Bank of Canada Financial Inc.
NatWest Markets Securities Inc.
Nordea Bank Abp
PNC Capital Markets LLC
Santander Investment Securities Inc.
SG Americas Securities, LLC
SMBC Nikko Securities America, Inc.
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ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．）(E05773)
外国会社臨時報告書
Standard Chartered Bank
UniCredit Capital Markets LLC
Academy Securities, Inc.
Loop Capital Markets LLC
R. Seelaus & Co., LLC
Samuel A. Ramirez & Company, Inc.
Siebert Williams Shank & Co., LLC
(5) Place of Public Offering:
United States
(6) Total amount of proceeds from the issuance, and details, amounts and expected time of expenditure for
each use of proceeds:
(a) Total Amount of Proceeds (net):
$ 1,980,000,000 (JPY 215,364,600,000)
(b) Details, amounts and expected time of expenditure for each use of proceeds:
The Company will contribute the net proceeds that it receives from the sale of the Depositary Shares to
its “intermediate holding company” subsidiary, JPMorgan Chase Holdings LLC, which will use those
net proceeds for general corporate purposes. General corporate purposes may include investments in
the Company’s subsidiaries, payments of dividends to the Company, extensions of credit to the
Company or its subsidiaries or the financing of possible acquisitions or business expansion. Net
proceeds may be temporarily invested pending application for their stated purpose. Interest on the
Company’s debt securities and dividends on its equity securities (including dividends on the Series
KK Preferred Stock represented by the Depositary Shares), as well as redemptions or repurchases of
the Company’s outstanding securities, will be made using amounts the Company receives as dividends
or extensions of credit from JPMorgan Chase Holdings LLC or as dividends from JPMorgan Chase
Bank, N.A.
(7) Date of Issuance:
May 12, 2021
(8) Exchange where the Securities are or are to be Listed:
Not applicable.
-Others-
(1) Amount of Stated Capital:
Common Stock $ 4,105 million (approximately JPY 446,500.85 million) (as of March 31, 2021)
Preferred Stock $ 31,563 million (approximately JPY 3,433,107.51 million ) (as of March 31, 2021)
(2) Total Number of Issued Shares :
Type of Shares Number of Issued Shares
Common Stock 4,104,933,895 shares (Note 1) (as of March 31, 2021)
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ジェー・ピー・モルガン・チェース・アンド・カンパニー（ＪＰＭｏｒｇａｎ Ｃｈａｓｅ ＆ Ｃｏ．）(E05773)
外国会社臨時報告書
Preferred Stock
3,156,250 shares (Note 2) (as of March 31, 2021)
(Note 1) Included treasury stock of 1,077,805,783 shares
(Note 2) The Company’s outstanding preferred shares are follows:
Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, 293,375 shares
Series I
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series Q 150,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series R 150,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series S 200,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series U 100,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series V 250,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series X 160,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series Z 200,000 shares
6.10% Non-Cumulative Preferred Stock, Series AA (Note 3) 142,500 shares
6.15% Non-Cumulative Preferred Stock, Series BB (Note 3) 115,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series CC 125,750 shares
5.75% Non-Cumulative Preferred Stock, Series DD 169,625 shares
6.00% Non-Cumulative Preferred Stock, Series EE 185,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series FF 225,000 shares
4.75% Non-Cumulative Preferred Stock, Series GG 90,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series HH 300,000 shares
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series II 150,000 shares
4.55% Non-Cumulative Preferred Stock, Series JJ 150,000 shares
The Company has issued the following series of preferred shares since April1, 2021:
3.65% Fixed-Rate Reset Non-Cumulative Preferred Stock, Series 200,000 shares
KK (Note 4)
(Note 3) The 6.10% Non-Cumulative Preferred Stock, Series AA and 6.15% Non-Cumulative
Preferred Stock, Series BB will be redeemed in full on June 1, 2021.
(Note 4) Included in this report.
以 上
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