9th Apr 2009 15:38
JPMorgan Chase & Co.
April 9, 2009
Annual Information Update for the 12 months up to and including March 31, 2009
Pursuant to Article 10.1 of Directive 2003/71/EC (the "Prospectus Directive") as implemented in the United Kingdom by Prospectus Rule 5.2, JPMorgan Chase & Co. (the "Company") hereby publishes its Annual Information Update (the "Report") following the publication of the Company's Annual Report on Form 10-K for the year ended December 31, 2008 (the "2008 Form 10-K") as filed with the U.S. Securities and Exchange Commission (the "SEC") on March 2, 2009. This Report refers to certain information published or made available to the public in certain European Economic Area ("EEA") member states, the United States and other jurisdictions. The Company is required to provide this Report by virtue of being the issuer of certain outstanding securities that are admitted to trading on the London Stock Exchange and other regulated markets in the EEA.
This Report is required by and is being made pursuant to Article 10 of the Prospectus Directive as implemented in the United Kingdom by Prospectus Rule 5.2 and not for any other purpose. Neither the Company nor any other person takes any responsibility for, or makes any representation, express or implied, as to the accuracy or completeness of the information contained in this Report.
The reports and filings listed in this Report are not necessarily up to date as at the date of this Report. In particular, the information contained in the 2008 Form 10-K supersedes that contained in all prior filings on Form 10-Q or Form 8-K made by the Company. The Company does not undertake to update the information referenced herein.
The reports and filings listed in this Report may have been prepared in accordance with the laws or regulations of a particular jurisdiction and may not comply with or meet the relevant standards of disclosure in any other jurisdiction. In addition, although certain of the filings listed in this Report relate to offerings of securities, neither this Report nor the information referenced herein constitutes, by virtue of this communication, an offer of any securities addressed to any person and should not be relied on by any person for any purpose, including for the purpose of making an investment decision.
The filing of this Report shall not cause its contents or the content of the information referenced herein to become incorporated by reference or otherwise included in any of the Company's other filings or publications in any jurisdiction.
With respect to reports and filings made outside the United States, this Report refers only to information published or made available to the public by the Company in its capacity as an issuer of securities and does not refer to information published or made available to the public for any other purpose or by any of the Company's subsidiaries.
1. Regulatory Announcements in the United Kingdom
The regulatory announcements listed below have been published by the Company in the United Kingdom via the Regulatory News Service. These announcements can be viewed on the London Stock Exchange's website at
http://www.londonstockexchange.com/en-gb/pricesnews/marketnews/
by typing "JPM" as the Code and choosing "Regulatory" as the News Source.
|
Announcement |
Date |
|
Publication of Supplementary Prospectus |
March 13, 2009 |
|
Notice re: Assumption of Notes |
March 11, 2009 |
|
Notice re: Amendment to Notes |
March 5, 2009 |
|
Annual Report on Form 10-K |
March 3, 2009 |
|
Notice re: Bear Stearns EMTN Programme |
February 27, 2009 |
|
Notice re: Bear Stearns Note Issuance Programme |
February 27, 2009 |
|
Notice re: Bear Stearns Warrant & Certificate Programme |
February 27, 2009 |
|
Notice re: Bear Stearns MAP Warrant Programme |
February 27, 2009 |
|
Form 8-K dated February 24, 2009 |
February 25, 2009 |
|
Publication of Supplementary Prospectus |
January 22, 2009 |
|
4Q 2008 Earnings Press Release |
January 16, 2009 |
|
Notice re: Amendment to Notes |
January 9, 2009 |
|
Notice re: Application for Admission |
December 22, 2008 |
|
Publication of Prospectus |
December 12, 2008 |
|
Notice re: Dividend Declaration |
December 11, 2008 |
|
Publication of Supplementary Prospectus |
December 10, 2008 |
|
Publication of Supplementary Prospectus |
November 27, 2008 |
|
Form 8-K dated November 19, 2008 |
November 20, 2008 |
|
Form 10-Q (3Q 2008) |
November 13, 2008 |
|
Publication of Supplementary Prospectus |
October 22, 2008 |
|
Form 8-K dated October 17, 2008 |
October 20, 2008 |
|
3Q 2008 Earnings Press Release |
October 15, 2008 |
|
Publication of Supplementary Prospectus |
October 6, 2008 |
|
Notice re: Common Stock Offering |
September 29, 2009 |
|
Form 8-K dated September 25, 2008 |
September 26, 2009 |
|
Notice re: Bear Stearns Home Member State |
September 19, 2008 |
|
Notice re: Dividend Declaration |
September 19, 2008 |
|
Notice re: Substitution |
September 16, 2008 |
|
Form 8-K dated September 9, 2008 |
September 11, 2008 |
|
Publication of Prospectus |
September 5, 2008 |
|
Publication of Supplementary Prospectus |
August 15, 2008 |
|
Form 10-Q (2Q 2008) |
August 12, 2008 |
|
Form 8-K dated July 31, 2008 |
August 1, 2008 |
|
Publication of Final Terms |
August 1, 2008 |
|
Notice re: Guarantee of Bear Stearns EMTNs |
August 1, 2008 |
|
2Q 2008 Earnings Press Release |
July 22, 2008 |
|
Publication of Supplementary Prospectus |
June 26, 2008 |
|
Form 8-K dated June 5, 2008 |
June 6, 2008 |
|
Publication of Supplementary Prospectus |
May 16, 2008 |
|
Form 10-Q (1Q 2008) |
May 13, 2008 |
|
Publication of Final Terms |
May 7, 2008 |
|
Publication of Supplementary Prospectus |
April 28, 2008 |
|
Certificate of Designations |
April 25, 2008 |
|
Form 8-K dated April 16, 2008 |
April 22, 2008 |
|
Proxy Statement |
April 18, 2008 |
|
1Q 2008 Earnings Press Release |
April 16, 2008 |
|
Annual Information Update |
April 15, 2008 |
|
Publication of Supplementary Prospectus |
April 3, 2008 |
2. Filings with the U.S. Securities and Exchange Commission
The documents listed below have been filed by the Company with the SEC in the United States. These documents can be viewed on the SEC's website at
http://idea.sec.gov/idea/searchidea/companysearch_idea.html
by typing "JPM" as the "Ticker Symbol".
|
Document |
Filing Date |
|
Annual Report on Form 10-K for the year ended December 31, 2008 |
March 2, 2009 |
|
Quarterly Report on Form 10-Q for the quarter ended September 30, 2008 |
November 7, 2008 |
|
Quarterly Report on Form 10-Q for the quarter ended June 30, 2008 |
August 11, 2008 |
|
Quarterly Report on Form 10-Q for the quarter ended March 31, 2008 |
May 12, 2008 |
|
Current Report on Form 8-K dated March 30, 2009 |
March 30, 2009 |
|
Current Report on Form 8-K dated March 3, 2009 |
March 3, 2009 |
|
Current Report on Form 8-K dated February 27, 2009 |
February 27, 2009 |
|
Current Report on Form 8-K dated February 24, 2009 |
February 24, 2009 |
|
Current Report on Form 8-K dated January 23, 2009 |
January 23, 2009 |
|
Current Report on Form 8-K dated January 16, 2009 |
January 16, 2009 |
|
Current Report on Form 8-K dated January 15, 2009 |
January 15, 2009 |
|
Current Report on Form 8-K dated December 2, 2008 |
December 2, 2008 |
|
Current Report on Form 8-K dated November 19, 2008 |
November 19, 2008 |
|
Current Report on Form 8-K dated November 12, 2008 |
November 12, 2008 |
|
Current Report on Form 8-K dated November 7, 2008 |
November 7, 2008 |
|
Current Report on Form 8-K dated November 5, 2008 |
November 5, 2008 |
|
Current Report on Form 8-K dated October 31, 2008 |
October 31, 2008 |
|
Current Report on Form 8-K dated October 17, 2008 |
October 17, 2008 |
|
Current Report on Form 8-K dated October 16, 2008 |
October 16, 2008 |
|
Current Report on Form 8-K dated October 15, 2008 |
October 15, 2008 |
|
Current Report on Form 8-K dated September 26, 2008 |
September 26, 2008 |
|
Current Report on Form 8-K dated September 17, 2008 |
September 17, 2008 |
|
Current Report on Form 8-K dated September 9, 2008 |
September 9, 2008 |
|
Current Report on Form 8-K dated August 25, 2008 |
August 25, 2008 |
|
Current Report on Form 8-K dated August 21, 2008 |
August 21, 2008 |
|
Current Report on Form 8-K dated August 14, 2008 |
August 14, 2008 |
|
Current Report on Form 8-K/A dated August 12, 2008 |
August 12, 2008 |
|
Current Report on Form 8-K dated July 31, 2008 |
July 31, 2008 |
|
Current Report on Form 8-K dated July 21, 2008 |
July 21, 2008 |
|
Current Report on Form 8-K dated July 17, 2008 |
July 17, 2008 |
|
Current Report on Form 8-K dated July 16, 2008 |
July 16, 2008 |
|
Current Report on Form 8-K dated July 11, 2008 |
July 11, 2008 |
|
Current Reports on Form 8-K and 8-K/A dated June 30, 2008 |
June 30, 2008 |
|
Current Report on 8-K/A dated June 6, 2008 |
June 6, 2008 |
|
Current Report on Form 8-K dated June 5, 2008 |
June 5, 2008 |
|
Current Report on Form 8-K dated June 2, 2008 |
June 2, 2008 |
|
Current Report on Form 8-K dated May 23, 2008 |
May 23, 2008 |
|
Current Report on Form 8-K dated May 16, 2008 |
May 16, 2008 |
|
Current Report on Form 8-K dated May 13, 2008 |
May 13, 2008 |
|
Current Reports on Form 8-K and 8-K/A dated May 6, 2008 |
May 6, 2008 |
|
Current Report on Form 8-K dated April 16, 2008 |
April 16, 2008 |
The Company has also made other filings with the SEC, including the following:
Registration statements on Form S-3 under the U.S. Securities Act of 1933, as amended (the "Securities Act"), and related amendments thereto, and Current Reports on Form 8-K containing exhibits to such registration statements;
Prospectuses and prospectus and pricing supplements thereto filed under Rules 424(b) and 425 under the Securities Act, and free writing prospectuses filed under Rules 163 and 433 under the Securities Act;
Registration statements for the registration of certain classes of securities under the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"), as filed on Form 8-A;
Proxy statements under Section 14(a) of the Exchange Act, as filed on Schedule 14A, and amendments thereto;
Statements with respect to the Company's beneficial ownership of securities of other U.S.-listed issuers, as filed on Forms 3 and 4 and Schedule 13G under the Exchange Act, and amendments thereto; and
Annual report of the employee 401(k) savings plan, as filed on Form 11-K.
Certain of the Company's executive officers and directors have also submitted statements with respect to the beneficial ownership of the Company's securities on Forms 3 and 4 and amendments thereto or with respect to the sale of securities of the Company on Form 144.
A complete list of all of the Company's filings with the SEC can be viewed at the SEC's website at http://idea.sec.gov/idea/searchidea/companysearch_idea.html by typing "JPM" as the "Ticker Symbol".
3. Filings with the Irish Financial Services Regulatory Authority (the "Financial Regulator")
The documents listed below (and related final terms and other documents or information published or made available to the public) have been filed by the Company with the Financial Regulator in Ireland. These documents can be viewed on the Financial Regulator's website at
http://www.financialregulator.ie/securitiesmarkets/prospectus/Pages/approvedprospectus.aspx
by typing "JPMorgan" in the "Issuer Name" search box. These documents are also available from the Company's Irish listing agent, The Bank of New York Mellon, at its office at One Canada Square, Canary Wharf, London E14 5AL.
Base Prospectus dated January 14, 2008 relating to the Company's U.S. $14,000,000,000 Structured Euro Medium Term Note Programme (the "2008 Base Prospectus")
Supplements to the 2008 Base Prospectus dated April 25, 2008, May 19, 2008, June 12, 2008, July 25, 2008, August 14, 2008, October 1, 2008, October 23, 2008 and November 25, 2008
Base Prospectus dated January 14, 2009 relating to the Company's U.S. $14,000,000,000 Structured Euro Medium Term Note Programme (the "2009 Base Prospectus")
Supplements to the 2009 Base Prospectus dated January 28, 2009 and March 20, 2009
The Company has also filed with the Financial Regulator certain of its reports filed with the SEC which are incorporated by reference in the 2008 Base Prospectus, the 2009 Base Prospectus and the above Supplements. These SEC reports can be viewed on the SEC's website as described above and are also available from the Company's Irish listing agent at its office specified above.
4. Filings with the Commission de Surveillance du Secteur Financier ("CSSF")
The documents listed below (and related final terms and other documents or information published or made available to the public) have been filed by the Company with the CSSF in Luxembourg. These documents can be viewed on the website of the Luxembourg Stock Exchange at
http://www.bourse.lu/Accueil.jsp
by selecting "Issuer Search" and typing "J.P. Morgan Chase & Co" in the "Issuer Name" search box. These documents are also available from the Company's Luxembourg paying agent, The Bank of New York (Luxembourg) S.A., at its office at Aerogolf Center, 1A Hoehenhof, L-1736 Senningerberg, Luxembourg.
Registration Document dated May 14, 2008 of the Company (the "Registration Document")
Base Prospectus dated May 14, 2008 relating to the Structured Products Programme for the issuance of Notes, Warrants and Certificates of J.P. Morgan Structured Products B.V. ("JPMSP"), J.P. Morgan International Derivatives Ltd. ("JPMIDL"), JPMorgan Chase Bank, N.A. and the Company, as Issuers (the "Structured Products Base Prospectus")
Supplements to the Registration Document dated June 13, 2008, August 5, 2008, August 22, 2008, October 1, 2008, October 21, 2008, November 26, 2008, January 23, 2009 and March 11, 2009
Supplements to the Structured Products Base Prospectus dated June 13, 2008, August 5, 2008, August 6, 2008, August 22, 2008, September 4, 2008, October 1, 2008, October 21, 2008, November 26, 2008, December 1, 2008, December 9, 2008, January 23, 2009 and March 11, 2009
The Company has also filed with the CSSF certain of its reports filed with the SEC which are incorporated by reference in the Registration Document, the Structured Products Base Prospectus and the above Supplements. These SEC reports can be viewed on the Luxembourg Stock Exchange's website and the SEC's website as described above and are also available from the Company's Luxembourg paying agent at its office specified above.
5. Filings with the Bundesanstalt für Finanzdienstleistungsaufsicht ("BaFin")
The documents listed below (and related final terms and other documents or information published or made available to the public) have been filed by the Company with the BaFin in Germany. These documents are available from the Company's fiscal and paying agent, BNP Paribas Securities Services, at its office at Grüneburgweg 14, 60322 Frankfurt am Main.
Base Prospectus dated June 17, 2008 relating to the Structured EMTN Programme of JPMSP, JPMIDL, JPMorgan Chase Bank, N.A. and the Company, as Issuers (the "Structured EMTN Base Prospectus")
Base Prospectus dated June 18, 2008 relating to the Warrants and Certificates Programme of JPMSP, JPMIDL, JPMorgan Chase Bank, N.A. and the Company, as Issuers (the "Warrants and Certificates Base Prospectus")
Supplements to the Structured EMTN Base Prospectus and the Warrants and Certificates Base Prospectus dated November 10, 2008, December 10, 2008, February 3, 2009 and March 19, 2009
The Company has also filed with the BaFin certain of its reports filed with the SEC which are incorporated by reference in the Structured EMTN Base Prospectus, the Warrants and Certificates Base Prospectus and the above Supplements. These SEC reports can be viewed on the SEC's website as described above and are also available from the Company's fiscal and paying agent at its office specified above.
6. Filings with the SIX Swiss Exchange
The documents listed below (and related supplemental offering circulars and other documents or information published or made available to the public) have been filed by the Company with the SIX Swiss Exchange in Switzerland. These documents are available from the Company's principal securities agent, Credit Suisse, at its office at Paradeplatz 8, 8001 Zürich.
Offering Circular dated May 26, 2008 relating to the Structured Derivative Instrument Programme of JPMSP, JPMIDL, JPMorgan Chase Bank, N.A. and the Company, as Issuers (the "Structured DIP Offering Circular")
Offering Circular dated May 26, 2008 relating to the Structured Warrant and Certificate Programme of JPMSP, JPMIDL, JPMorgan Chase Bank, N.A. and the Company, as Issuers (the "Structured W&C Offering Circular")
Supplements to the Structured DIP Offering Circular and the Structured W&C Offering Circular dated June 16, 2008, July 24, 2008, August 15, 2008, September 8, 2008, October 1, 2008, October 23, 2008, December 10, 2008, January 28, 2009 and March 9, 2009
The Company has also filed with the SIX Swiss Exchange certain of its reports filed with the SEC which are incorporated by reference in the Structured DIP Offering Circular, the Structured W&C Offering Circular and the above Supplements. These SEC reports can be viewed on the SEC's website as described above and are also available from the Company's principal securities agent at its office specified above.
7. Filings with the Tokyo Stock Exchange
The Company's common stock is also listed on the Tokyo Stock Exchange ("TSE"). The documents listed below have been filed by the Company with the TSE and the Kanto Local Finance Bureau in Japan. These documents can be viewed on the TSE's website at
http://www.tse.or.jp/listing/disclosure/index.html.
|
Document |
Filing Date |
|
Extraordinary Report |
April 4, 2008 |
|
Amendment to Shelf Registration Statement (Boshu) |
April 4, 2008 |
|
Amendment to Shelf Registration Statement (Uridashi) |
April 4, 2008 |
|
Amendment to Extraordinary Report filed on April 4, 2008 |
May 22, 2008 |
|
Amendment to Shelf Registration Statement (Boshu) |
May 22, 2008 |
|
Amendment to Shelf Registration Statement (Uridashi) |
May 22, 2008 |
|
Annual Securities Report - Form 8 |
June 30, 2008 |
|
Amendment to Shelf Registration Statement (Boshu) |
June 30, 2008 |
|
Amendment to Shelf Registration Statement (Uridashi) |
June 30, 2008 |
|
Semi Annual Report - Form 10 |
September 30, 2008 |
|
Amendment to Shelf Registration Statement (Boshu) |
September 30, 2008 |
|
Amendment to Shelf Registration Statement (Uridashi) |
September 30, 2008 |
|
Extraordinary Report |
October 8, 2008 |
|
Amendment to Shelf Registration Statement (Boshu) |
October 9, 2008 |
|
Amendment to Shelf Registration Statement (Uridashi) |
October 9, 2008 |
|
Amendment to Extraordinary Report filed on 10/8/08 |
October 9, 2008 |
|
Amendment to Shelf Registration Statement (Boshu) |
October 10, 2008 |
|
Amendment to Shelf Registration Statement (Uridashi) |
October 10, 2008 |
|
Amendment to Annual Securities Report |
November 7, 2008 |
|
Amendment to Semi-Annual Report |
November 7, 2008 |
|
Amendment to Shelf Registration Statement (Boshu) |
November 7, 2008 |
|
Amendment to Shelf Registration Statement (Uridashi) |
November 7, 2008 |
|
Shelf Registration Statement (Boshu) |
February 27, 2009 |
|
Shelf Registration Statement (Uridashi) |
February 27, 2009 |
Related Shares:
JPM.L