SEC Form 4 · accession 0001127602-15-028120
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eugenio Clariond
Director
Period of report
Oct 1, 2015
Accepted (ET)
Oct 2, 2015 · 9:46 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000053669
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units / Directors' Deferred Compensation PlanF3,F1,F2 | — | Oct 1, 2015 | A | 723 | A | — | — | Common Stock | 723 | 69,155 | D |
| Phantom Stock Units/ Directors' Share Unit PlanF5,F1,F4 | — | holding | — | — | — | — | — | Common Stock | 2,543 | 2,543 | D |
Explanation of responses
- F1Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- F2The phantom stock units accrue under the Johnson Controls Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement. The reporting person has the right to transfer the value of the phantom stock account into an alternative investment account within the plan.
- F3Includes 354.872 phantom stock units acquired via dividend reinvestment on July 2, 2015 at $49.44 per phantom stock unit.
- F4The phantom stock units accrue under the Johnson Controls Directors' Retirement Plan and settle 100% in cash upon the reporting person's retirement. The reporting person has the right to transfer the value of the phantom stock account into an alternative investment account within the plan.
- F5Includes 13.301 phantom stock units acquired via dividend reinvestment on July 2, 2015 at $49.44 per phantom stock unit.