SEC Form 4 · accession 0001127602-15-016536
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Beda Bolzenius
Officer — VP, V. Chair APAC and Pres, AE
Period of report
May 6, 2015
Accepted (ET)
May 7, 2015 · 10:10 am 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 | May 6, 2015 | M | 120,000 | $40.21 | A | 270,318 | D | |
| Common StockF2 | May 6, 2015 | D | 120,000 | $49.3925 | D | 150,318 | D | |
| Common Stock | May 6, 2015 | M | 160,000 | $28.79 | A | 310,318 | D | |
| Common StockF2 | May 6, 2015 | D | 160,000 | $49.3925 | D | 150,318 | D |
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) | $40.21 | May 6, 2015 | M | 120,000 | D | Oct 1, 2009 | Oct 1, 2017 | Common Stock | 120,000 | 0 | D |
| Employee Stock Option (Right to Buy) | $28.79 | May 6, 2015 | M | 160,000 | D | Oct 1, 2010 | Oct 1, 2018 | Common Stock | 160,000 | 0 | D |
Explanation of responses
- F1The balance includes 369.717 shares acquired via dividend reinvestment on January 5 and April 2, 2015 at $46.31 and $50.16 per share, respectively.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.15 to $49.68, 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 2 of this Form 4.