Alerian MLP Index ETN SEC Filings

JPMorgan Chase & Co. Chief Financial Officer Jeremy Barnum reported a grant of 18,108 Restricted Stock Units (RSUs) on January 20, 2026. The RSUs were granted at a price of $0.0000 per unit as part of his equity-based incentive compensation for performance year 2025, representing 50% of his equity award, with the remaining 50% in Performance Share Units.

Each RSU represents a contingent right to receive one share of JPMorgan Chase common stock, giving Barnum a potential future claim on 18,108 shares if conditions are met. The RSUs are scheduled to vest in two equal installments: 50% on January 13, 2028 and 50% on January 13, 2029. These equity incentives are subject to the firm’s bonus recoupment policy, recapture provisions, and additional protection-based vesting provisions that can lead to cancellation or recovery of awards in specified circumstances.

JPMorgan Chase & Co. granted Chief Risk Officer Ashley Bacon 18,108 restricted stock units (RSUs) on January 20, 2026. Each RSU represents a contingent right to receive one share of JPMorgan Chase common stock. The award reflects 50% of Bacon's equity-based incentive compensation for performance year 2025, with the remaining 50% granted as performance share units.

The 18,108 RSUs vest in two equal installments: 50% on January 13, 2028 and 50% on January 13, 2029. The equity incentives are subject to the firm's bonus recoupment policy, recapture provisions that allow cancellation or recovery of value in specified circumstances, and additional protection-based vesting provisions for Operating Committee members that may lead to cancellation subject to board committee ratification.

JPMorgan Chase & Co. granted Chief Risk Officer Ashley Bacon 18,108 restricted stock units (RSUs) on January 20, 2026. Each RSU represents a contingent right to receive one share of JPMorgan Chase common stock. The award reflects 50% of Bacon's equity-based incentive compensation for performance year 2025, with the remaining 50% granted as performance share units.

The 18,108 RSUs vest in two equal installments: 50% on January 13, 2028 and 50% on January 13, 2029. The equity incentives are subject to the firm's bonus recoupment policy, recapture provisions that allow cancellation or recovery of value in specified circumstances, and additional protection-based vesting provisions for Operating Committee members that may lead to cancellation subject to board committee ratification.

JPMorgan Chase Co-CEO of CIB Douglas B. Petno reported new equity awards and small share movements. On January 20, 2026, he received 25,938 Restricted Stock Units (RSUs), each representing one share of JPMorgan Chase common stock, at a price of $0.0000. These RSUs represent 50% of his equity-based incentive compensation for performance year 2025, with the other 50% awarded as Performance Share Units.

The RSUs vest in two equal installments: 50% on January 13, 2028 and 50% on January 13, 2029. They are subject to the firm’s bonus recoupment policy, recapture provisions, and additional protection-based vesting conditions for Operating Committee members. On January 21, 2026, a code "G" transaction moved 811 common shares at $0.0000, leaving 368,315 shares held directly. In addition, 70,457 common shares are held indirectly through family trusts.

JPMorgan Chase Co-CEO of CIB Douglas B. Petno reported new equity awards and small share movements. On January 20, 2026, he received 25,938 Restricted Stock Units (RSUs), each representing one share of JPMorgan Chase common stock, at a price of $0.0000. These RSUs represent 50% of his equity-based incentive compensation for performance year 2025, with the other 50% awarded as Performance Share Units.

The RSUs vest in two equal installments: 50% on January 13, 2028 and 50% on January 13, 2029. They are subject to the firm’s bonus recoupment policy, recapture provisions, and additional protection-based vesting conditions for Operating Committee members. On January 21, 2026, a code "G" transaction moved 811 common shares at $0.0000, leaving 368,315 shares held directly. In addition, 70,457 common shares are held indirectly through family trusts.

JPMorgan Chase Financial Company LLC, fully guaranteed by JPMorgan Chase & Co., is offering auto callable buffered return enhanced notes linked to Eli Lilly common stock. Each note has a $1,000 denomination, a strike price of $1,078.52 and a term of about two years.

The notes may be automatically called on February 3, 2027 if Eli Lilly’s share price is at or above the strike; in that case investors receive $1,000 plus a call premium of at least 24.48%. If not called, and the final stock price is above the strike, maturity payments provide uncapped leveraged upside at no less than 1.25x the stock gain.

If the notes are not called and Eli Lilly falls up to 30% below the strike, principal is returned at maturity. Below that buffer, losses match the full negative stock return, so investors can lose most or all of principal. The preliminary estimated value is about $975.90 per $1,000 note and will not be less than $960 when finalized, reflecting embedded costs, credit risk of both JPMorgan entities, lack of interest and dividend payments, potential illiquidity, conflicts of interest and complex U.S. tax treatment.

JPMorgan Chase & Co. closed several debt offerings on January 22, 2026. The bank issued $400,000,000 of Floating Rate Notes due 2032, $2,600,000,000 of Fixed-to-Floating Rate Notes due 2032, and $3,000,000,000 of Fixed-to-Floating Rate Notes due 2037. These Notes were issued under an existing shelf registration statement on Form S-3. A legal opinion from Simpson Thacher & Bartlett LLP on the validity of the Notes, along with related consents and technical Inline XBRL cover-page data, is included as exhibits.

JPMorgan Chase & Co. closed several debt offerings on January 22, 2026. The bank issued $400,000,000 of Floating Rate Notes due 2032, $2,600,000,000 of Fixed-to-Floating Rate Notes due 2032, and $3,000,000,000 of Fixed-to-Floating Rate Notes due 2037. These Notes were issued under an existing shelf registration statement on Form S-3. A legal opinion from Simpson Thacher & Bartlett LLP on the validity of the Notes, along with related consents and technical Inline XBRL cover-page data, is included as exhibits.

JPMorgan Chase Financial Company LLC is issuing $250,000 of Auto Callable Accelerated Barrier Notes linked to the common stock of NVIDIA Corporation, fully and unconditionally guaranteed by JPMorgan Chase & Co. The notes have a minimum denomination of $1,000, priced at 100% of principal with selling commissions of $8 per $1,000 and net proceeds of $248,000 to the issuer.

The notes may be automatically called on January 22, 2027 if NVIDIA’s share price is at or above the call value, paying $1,150 per $1,000 note (a 15% call premium). If not called and held to the January 25, 2029 maturity, investors receive leveraged upside of 2.46x any stock gain, return of principal if the final stock price is at or above 70% of the initial value, and one-for-one downside below that barrier, which can result in a total loss of principal.

The notes pay no interest or dividends, are unsecured obligations subject to the credit risk of both JPMorgan Financial and JPMorgan Chase & Co., are not FDIC insured, and may have limited or no secondary market liquidity. The estimated value at pricing was $980.60 per $1,000 note, below the issue price due to selling, structuring and hedging costs.

JPMorgan Chase & Co. is offering $4,500,000 of callable fixed rate notes due April 23, 2029. The notes pay interest at a fixed rate of 4.00% per annum, calculated on a 30/360 basis, with interest payable annually in arrears on January 23 of each year starting January 23, 2027 and on the maturity date.

The issuer may redeem the notes in whole, but not in part, at par plus accrued interest on the 23rd day of January, April, July and October of each year from January 23, 2028 through January 23, 2029. The price to the public is $1,000 per note, including hedging costs, with selling commissions of $1.25 per $1,000 note, resulting in issuer proceeds of $4,494,375.

The notes are unsecured obligations of JPMorgan Chase & Co., are not bank deposits, and are not insured by the FDIC. In a resolution scenario under JPMorgan’s “single point of entry” strategy, losses would be borne first by equity holders and then by unsecured creditors, including holders of these notes, and recovery could depend on the value realized from subsidiaries after higher-priority creditors are paid.

JPMorgan Chase Financial Company LLC is issuing $500,000 of Auto Callable Contingent Interest Notes linked to the Class A common stock of QuantumScape Corporation, fully and unconditionally guaranteed by JPMorgan Chase & Co. The notes pay a monthly Contingent Interest Payment of $24.5417 per $1,000 (a rate of 22.0875% over the term) for any Review Date on which QuantumScape’s share price is at or above the Interest Barrier, set at 50.00% of the Strike Value, or $5.275.

The notes can be automatically called on specified Review Dates starting May 18, 2026 if the stock closes at or above the Strike Value of $10.55, returning $1,000 plus due interest per note, with no further payments. If the notes are not called and QuantumScape’s final share price is below the Trigger Value (the same 50% barrier), investors lose 1% of principal for each 1% decline from the Strike Value and can lose their entire investment. The notes are unsecured obligations subject to the credit risk of JPMorgan Financial and JPMorgan Chase & Co., offer no dividends or voting rights in QuantumScape, and will not be listed on any exchange. The estimated value at pricing was $966.70 per $1,000 note, reflecting structuring and hedging costs.

JPMorgan Chase Financial Company LLC is offering unsecured, unsubordinated callable contingent interest notes fully guaranteed by JPMorgan Chase & Co., linked to the worst performer of the Russell 2000, Nasdaq‑100 and EURO STOXX 50 indices, maturing on January 25, 2029.

The notes pay a quarterly contingent coupon at a rate of at least 12.50% per annum (at least 3.125% per quarter) only if, on every day in a Quarterly Monitoring Period, each index stays at or above its Interest Barrier set at 70% of its strike level. If any index closes below its barrier on any day in a period, no interest is paid for that quarter.

JPMorgan may redeem the notes early, in whole, on any interest payment date from April 24, 2026 onward at $1,000 per note plus any due contingent interest. At maturity, if not called and each index finishes at or above its Trigger Value at 60% of strike, investors receive $1,000 per note plus any final contingent interest. If any index finishes below its Trigger Value, repayment is reduced one-for-one with the worst index decline, and investors can lose more than 40% or even all principal. The preliminary estimated value is about $970 per $1,000 note, and will not be less than $950 when finalized, reflecting selling commissions, hedging costs and issuer funding assumptions.

JPMorgan Chase Financial Company LLC, fully guaranteed by JPMorgan Chase & Co., is offering Uncapped Return Enhanced Notes linked to the lesser performer of Fiserv, Inc. and PayPal Holdings, Inc. common stock, maturing on January 25, 2029. The notes aim to pay at least 2.815× any positive return of the lesser performing stock when both final stock prices are above their strike values.

If either stock finishes below its strike value at maturity, investors lose 1% of principal for each 1% decline in the lesser performing stock, up to a total loss. The notes pay no interest, provide no dividends, are unsecured, and expose holders to the credit risk of both JPMorgan Chase Financial Company LLC and JPMorgan Chase & Co. Strike values are set from the January 21, 2026 closes: $65.73 for Fiserv and $55.89 for PayPal. The issuer estimates each note’s value at approximately $950 per $1,000 face amount on pricing and states it will not be less than $930.