SEC Form 4 · accession 0001127602-15-028861
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank A Voltolina
Officer — Vice President and Treasurer
Period of report
Oct 7, 2015
Accepted (ET)
Oct 8, 2015 · 4:07 pm 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $43.86 | Oct 7, 2015 | A | 14,296 | A | Oct 7, 2017 | Oct 7, 2025 | Common Stock | 14,296 | 14,296 | D |
| Phantom Stock Units - Restricted Stock PlanF2,F3 | $0.00 | Oct 7, 2015 | A | 4,286 | A | — | — | Common Stock | 4,286 | 49,314 | D |
| Phantom Stock Units - Restricted Stock PlanF4,F2,F3 | $0.00 | Oct 7, 2015 | A | 12,859 | A | — | — | Common Stock | 12,859 | 62,173 | D |
| Employee Stock Option (Right to Buy) | $23.965 | holding | — | — | — | Oct 2, 2008 | Oct 2, 2016 | Common Stock | 48,000 | 48,000 | D |
| Employee Stock Option (Right to Buy) | $40.21 | holding | — | — | — | Oct 1, 2009 | Oct 1, 2017 | Common Stock | 36,000 | 36,000 | D |
| Employee Stock Option (Right to Buy) | $28.79 | holding | — | — | — | Oct 1, 2010 | Oct 1, 2018 | Common Stock | 48,000 | 48,000 | D |
| Employee Stock Option (Right to Buy) | $24.87 | holding | — | — | — | Oct 1, 2011 | Oct 1, 2019 | Common Stock | 48,000 | 48,000 | D |
| Employee Stock Option (Right to Buy) | $30.54 | holding | — | — | — | Oct 1, 2012 | Oct 1, 2020 | Common Stock | 35,000 | 35,000 | D |
| Employee Stock Option (Right to Buy) | $28.54 | holding | — | — | — | Oct 7, 2013 | Oct 7, 2021 | Common Stock | 32,500 | 32,500 | D |
| Employee Stock Option (Right to Buy) | $27.85 | holding | — | — | — | Oct 5, 2014 | Oct 5, 2022 | Common Stock | 18,600 | 18,600 | D |
| Employee Stock Option (Right to Buy)F1 | $48.37 | holding | — | — | — | Nov 19, 2015 | Nov 19, 2023 | Common Stock | 12,176 | 12,176 | D |
| Employee Stock Option (Right to Buy)F1 | $50.23 | holding | — | — | — | Nov 18, 2016 | Nov 18, 2024 | Common Stock | 11,840 | 11,840 | D |
Explanation of responses
- F1Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
- F2Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- F3The phantom stock units accrue under the Johnson Controls Restricted Stock Plan and settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements.
- F4The balance includes 940.491 phantom stock units acquired via dividend reinvestment on January 5, April 2, July 2, and October 2, 2015 at prices ranging from $42.33 to $50.16 per phantom stock unit.