SEC Form 4 · accession 0001127602-15-028866
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
Oct 7, 2015
Accepted (ET)
Oct 8, 2015 · 4:13 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 StockF1 | Oct 7, 2015 | M | 12,260 | $43.86 | A | 162,759 | D | |
| Common Stock | Oct 7, 2015 | D | 12,260 | $43.86 | D | 150,499 | D | |
| Common Stock | Oct 7, 2015 | A | 17,191 | $0.00 | A | 167,690 | D | |
| Common Stock | Oct 7, 2015 | A | 51,573 | $0.00 | A | 219,263 | D |
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 - Restricted Stock PlanF3,F2 | — | Oct 7, 2015 | M | 12,260 | D | — | — | Common Stock | 12,260 | 13,298 | D |
| Employee Stock Option (Right to Buy)F4 | $43.86 | Oct 7, 2015 | A | 57,338 | A | Oct 7, 2017 | Oct 7, 2025 | Common Stock | 57,338 | 57,338 | D |
| Employee Stock Option (Right to Buy)F4 | $50.23 | holding | — | — | — | Nov 18, 2016 | Nov 18, 2024 | Common Stock | 47,554 | 47,554 | D |
| Employee Stock Option (Right to Buy) | $24.87 | holding | — | — | — | Oct 1, 2011 | Oct 1, 2019 | Common Stock | 170,000 | 170,000 | D |
| Employee Stock Option (Right to Buy) | $30.54 | holding | — | — | — | Oct 1, 2012 | Oct 1, 2020 | Common Stock | 150,000 | 150,000 | D |
| Employee Stock Option (Right to Buy) | $28.54 | holding | — | — | — | Oct 7, 2013 | Oct 7, 2021 | Common Stock | 140,000 | 140,000 | D |
| Employee Stock Option (Right to Buy) | $27.85 | holding | — | — | — | Oct 5, 2014 | Oct 5, 2022 | Common Stock | 74,800 | 74,800 | D |
| Employee Stock Option (Right to Buy)F4 | $48.37 | holding | — | — | — | Nov 19, 2015 | Nov 19, 2023 | Common Stock | 48,843 | 48,843 | D |
Explanation of responses
- F1The balance includes 181.526 shares acquired via dividend reinvestment on July 2, 2015 at $49.44 per unit.
- F2Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The phantom stock units are being accrued under the Johnson Controls Restricted Stock Plan and settle 100% in cash, subject to the vesting of the underlying restricted stock award, upon the reporting person's retirement or termination.
- F3The balance includes 551.243 phantom stock units acquired via dividend reinvestment on January 5, April 2, and July 2, 2015 at prices ranging from $46.31 to $50.16 per unit.
- F4Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.