SEC Form 4 · accession 0001127602-15-020385
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Davis
Officer — Vice President & ACHRO
Period of report
Jun 10, 2015
Accepted (ET)
Jun 11, 2015 · 2:03 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 | Jun 10, 2015 | M | 5,400 | $40.21 | A | 24,688 | D | |
| Common StockF1 | Jun 10, 2015 | D | 5,400 | $53.2559 | D | 19,288 | D | |
| Common Stock | Jun 10, 2015 | M | 9,000 | $28.79 | A | 28,288 | D | |
| Common StockF1,F2 | Jun 10, 2015 | D | 9,000 | $53.2559 | D | 19,288 | D | |
| Common StockF3 | holding | — | — | — | 209 | I | By 401(k) Plan Trust |
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 | Jun 10, 2015 | M | 5,400 | D | Oct 1, 2009 | Oct 1, 2017 | Common Stock | 5,400 | 0 | D |
| Employee Stock Option (Right to Buy) | $28.79 | Jun 10, 2015 | M | 9,000 | D | Oct 1, 2010 | Oct 1, 2018 | Common Stock | 9,000 | 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 $53.25 to $53.31, 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 balance includes 96.69 shares acquired via dividend reinvestment on January 5 and April 2, 2015, at prices ranging from $46.31 to $50.16.
- F3The number of underlying securities is based on the stock fund balance on June 10, 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 June 10, 2015 stock fund price of $53.59 per share. The balance also includes a company match of 3.061 shares on February 26, 2015.