SEC Form 4 · accession 0001127602-15-001312
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Walicki
Officer — VP & Pres., Power Solutions
Period of report
Jan 5, 2015
Accepted (ET)
Jan 7, 2015 · 10:08 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000053669
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 5, 2015 | A | 2,699 | $0.00 | A | 30,060 | D | |
| Common StockF2 | holding | — | — | — | 4,199 | I | by 401k Plan Trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $46.31 | Jan 5, 2015 | A | 8,722 | A | Jan 5, 2017 | Jan 5, 2025 | Common Stock | 8,722 | 8,722 | D |
Explanation of responses
- F1The balance includes 45.001 shares acquired via dividend reinvestment on January 5, 2015 at $45.60 per share.
- F2The number of underlying securities is based on the stock fund balance on January 5, 2015. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consisting of 96% company stock and 4% money market fund. The stock account balance reflected in this report is based on a January 5, 2015 stock fund price of $46.31 per share.
- F3Fifty percent of the stock options vest after two years, and the remaining stock options vest after three years.