SEC Form 4 · accession 0001127602-15-008558
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
Feb 24, 2015
Accepted (ET)
Feb 26, 2015 · 3:08 pm 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 Stock | Feb 24, 2015 | M | 20,400 | $23.965 | A | 50,460 | D | |
| Common StockF1,F2 | Feb 24, 2015 | D | 20,400 | $50.8709 | D | 30,060 | D | |
| Common StockF3 | holding | — | — | — | 4,203 | 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) | $23.965 | Feb 24, 2015 | M | 20,400 | D | Oct 2, 2008 | Oct 2, 2016 | Common Stock | 20,400 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.76 to $50.93, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 1 of this Form 4.
- F2The reporting person's holdings include .743 shares acquired under the issuer's dividend reinvestment and common stock purchase plan since the reporting person's last report. These shares were acquired pursuant to the employee stock purchase plan provisions of the dividend reinvestment and common stock purchase plan, which acquisitions are exempt from Section 16.
- F3The number of underlying securities is based on the stock fund balance on February 24, 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 February 24, 2015 stock fund price of $50.79 per share.