SEC Form 4 · accession 0001127602-15-015199
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Bruce McDonald
Officer — Exec VP & Vice Chairman
Period of report
Apr 24, 2015
Accepted (ET)
Apr 27, 2015 · 3:54 pm EDT
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 | Mar 5, 2015 | G | 1,950 | $0.00 | D | 106,791 | D | |
| Common Stock | Apr 24, 2015 | M | 225,000 | $22.5617 | A | 331,791 | D | |
| Common StockF1 | Apr 24, 2015 | D | 225,000 | $52.5249 | D | 106,791 | D | |
| Common StockF2 | holding | — | — | — | 17,258 | I | By 401(k) 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) | $22.5617 | Apr 24, 2015 | M | 225,000 | D | Nov 16, 2007 | Nov 16, 2015 | Common Stock | 225,000 | 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 $52.50 to $52.68, 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 number of underlying securities is based on the stock fund balance on April 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 an April 24, 2015, stock fund price of $52.48 per share.