SEC Form 4 · accession 0001127602-15-015382
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alex A Molinaroli
Officer — Chairman & CEO
Period of report
Apr 28, 2015
Accepted (ET)
Apr 28, 2015 · 4:01 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 StockF1 | Apr 28, 2015 | M | 155,000 | $24.87 | A | 245,104 | D | |
| Common StockF2 | Apr 28, 2015 | D | 155,000 | $51.7028 | D | 90,104 | D | |
| Common StockF3 | holding | — | — | — | 49,342 | I | by 401(k) 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) | $24.87 | Apr 28, 2015 | M | 155,000 | D | Oct 1, 2011 | Oct 1, 2019 | Common Stock | 155,000 | 0 | D |
Explanation of responses
- F1The balance includes 434.744 shares acquired via dividend reinvestment on April 2, at $50.16 per share.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.39 to $52.05, 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 2 of this Form 4.
- F3The number of underlying securities is based on the stock fund balance on April 27, 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 April 27, 2015, stock fund price of $52.06 per share, and includes a company match of 306.122 shares on February 26, 2015.