SEC Form 4 · accession 0001127602-15-028857
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan F Davis
Officer — Executive Vice President
Period of report
Oct 7, 2015
Accepted (ET)
Oct 8, 2015 · 4:03 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 | Oct 7, 2015 | A | 10,328 | $0.00 | A | 113,029 | D | |
| Common StockF1 | Oct 7, 2015 | A | 30,984 | $0.00 | A | 144,013 | D | |
| Common StockF2 | holding | — | — | — | 594 | 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)F3 | $43.86 | Oct 7, 2015 | A | 34,448 | A | Oct 7, 2017 | Oct 7, 2025 | Common Stock | 34,448 | 34,448 | D |
| Employee Stock Option (Right to Buy) | $40.21 | holding | — | — | — | Oct 1, 2009 | Oct 1, 2017 | Common Stock | 75,000 | 75,000 | D |
| Employee Stock Option (Right to Buy) | $28.79 | holding | — | — | — | Oct 1, 2010 | Oct 1, 2018 | Common Stock | 110,000 | 110,000 | D |
| Employee Stock Option (Right to Buy) | $24.87 | holding | — | — | — | Oct 1, 2011 | Oct 1, 2019 | Common Stock | 110,000 | 110,000 | D |
| Employee Stock Option (Right to Buy) | $30.54 | holding | — | — | — | Oct 1, 2012 | Oct 1, 2020 | Common Stock | 84,000 | 84,000 | D |
| Employee Stock Option (Right to Buy) | $28.54 | holding | — | — | — | Oct 7, 2013 | Oct 7, 2021 | Common Stock | 78,000 | 78,000 | D |
| Employee Stock Option (Right to Buy) | $27.85 | holding | — | — | — | Oct 5, 2014 | Oct 5, 2022 | Common Stock | 44,200 | 44,200 | D |
| Employee Stock Option (Right to Buy)F3 | $48.37 | holding | — | — | — | Nov 19, 2015 | Nov 19, 2023 | Common Stock | 30,816 | 30,816 | D |
| Employee Stock Option (Right to Buy)F3 | $50.23 | holding | — | — | — | Nov 18, 2016 | Nov 18, 2024 | Common Stock | 30,051 | 30,051 | D |
Explanation of responses
- F1The balance includes 153.931 shares acquired via dividend reinvestment on January 5, April 2 and July 2, 2015 at prices ranging from $46.31 to $50.16 per share.
- F2The number of underlying securities is based on the stock fund balance on October 6, 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 October 6, 2015 stock fund price of $43.05 per share.
- F3Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.