1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Appreciation Right
|
Â
(1)
|
02/11/2014 |
Common Stock
|
14,640
|
$
39.96
|
D
|
Â
|
Stock Appreciation Rights
|
Â
(2)
|
10/20/2015 |
Common Stock
|
25,000
|
$
34.78
|
D
|
Â
|
Stock Option (Right to Buy)
|
01/18/2003(3)
|
01/18/2011 |
Common Stock
|
29,979
|
$
51.22
|
D
|
Â
|
Stock Options (Right to Buy)
|
12/22/2000 |
07/15/2008 |
Common Stock
|
55,500
|
$
35.3886
|
D
|
Â
|
Stock options (Right to Buy)
|
01/17/2003(4)
|
01/17/2012 |
Common Stock
|
29,309
|
$
36.85
|
D
|
Â
|
Stock Options (Rights to Buy)
|
01/18/2007(5)
|
01/18/2011 |
Common Stock
|
87,857
|
$
51.22
|
D
|
Â
|
Stock Options (Rights to Buy)
|
12/22/2000 |
01/13/2006 |
Common Stock
|
20,350
|
$
20.4392
|
D
|
Â
|
Stock Options (Rights to Buy)
|
12/22/2000 |
07/13/2007 |
Common Stock
|
22,200
|
$
29.1724
|
D
|
Â
|
Stock Options (Rights to Buy)
|
12/22/2000 |
07/19/2009 |
Common Stock
|
66,600
|
$
36.6808
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Vests in two equal annual installments beginning January 25, 2006. |
(2) |
SARs vest and become exercisable in three equal annual installments beginning October 20, 2008. |
(3) |
Vests annually in halves beginning on January 18, 2003. |
(4) |
Vests annually in thirds beginning January 17, 2003. |
(5) |
These options were granted pursuant to the Growth Performance Incentive Program under the Corporation's Long Term Incentive Plan and 1/2 will become exercisable on 1/25/2003 if Cumulative Fully Diluted Cash Operating Earnings Per Share, excluding JPMorgan Partners and extraordinary events, (EPS) equals $8.50 for 2001 and 2002; an additional 1/2 will become exercisable on 1/25/2003 if EPS equals $8.50 for 2001 and 2002 and if at least two major business units achieve their cumulative Shareholder Value Added goals for 2001 and 2002. Alternatively, this 1/2 will become exercisable on 1/25/2003 if EPS of $9.00 has been achieved for 2001 and 2002. If the foregoing $8.50 EPS goal is not achieved, 30% will become exercisable on 1/25/2003 if at least two of the major business units achieve their cumulative Shareholder Value Added goals for 2001 and 2002. All options that do not become exercisable on 1/25/2003 will become exercisable on 1/18/2007. |