SEC Form 4 · accession 0001127602-15-028896
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Davis
Officer — VP, Chief Human Resources Ofcr
Period of report
Oct 7, 2015
Accepted (ET)
Oct 8, 2015 · 4:46 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 | 117 | $43.86 | A | 19,452 | D | |
| Common Stock | Oct 7, 2015 | D | 117 | $43.86 | D | 19,336 | D | |
| Common Stock | Oct 7, 2015 | A | 3,739 | $0.00 | A | 23,075 | D | |
| Common Stock | Oct 7, 2015 | A | 11,217 | $0.00 | A | 34,292 | D | |
| Common StockF2 | holding | — | — | — | 213 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units - Restricted Stock PlanF5,F3,F4 | — | Oct 7, 2015 | M | 117 | D | — | — | Common Stock | 117 | 93 | D |
| Phantom Stock Units - Restricted Stock PlanF3,F4 | — | Oct 7, 2015 | A | 3,739 | A | — | — | Common Stock | 3,739 | 3,832 | D |
| Phantom Stock Units - Restricted Stock PlanF3,F4 | — | Oct 7, 2015 | A | 11,218 | A | — | — | Common Stock | 11,218 | 15,050 | D |
| Employee Stock Option (Right to Buy)F6 | $43.86 | Oct 7, 2015 | A | 24,942 | A | Oct 7, 2017 | Oct 7, 2025 | Common Stock | 24,942 | 24,942 | D |
| Employee Stock Option (Right to Buy) | $24.87 | holding | — | — | — | Oct 1, 2011 | Oct 1, 2019 | Common Stock | 11,300 | 11,300 | D |
| Employee Stock Option (Right to Buy) | $30.54 | holding | — | — | — | Oct 1, 2012 | Oct 1, 2020 | Common Stock | 9,500 | 9,500 | D |
| Employee Stock Option (Right to Buy) | $28.54 | holding | — | — | — | Oct 7, 2013 | Oct 7, 2021 | Common Stock | 12,500 | 12,500 | D |
| Employee Stock Option (Right to Buy) | $27.85 | holding | — | — | — | Oct 5, 2014 | Oct 5, 2022 | Common Stock | 16,100 | 16,100 | D |
| Employee Stock Option (Right to Buy)F6 | $48.37 | holding | — | — | — | Nov 19, 2015 | Nov 19, 2023 | Common Stock | 10,204 | 10,204 | D |
| Employee Stock Option (Right to Buy)F6 | $50.23 | holding | — | — | — | Nov 18, 2016 | Nov 18, 2024 | Common Stock | 18,661 | 18,661 | D |
Explanation of responses
- F1The balance includes 47.473 shares acquired via dividend reinvestment on July 2, 2015 at $49.44 per share.
- F2The number of underlying securities is based on the stock fund balance on September 30, 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 September 30, 2015 stock fund price of $41.36 per share.
- F3Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- F4The phantom stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
- F5The balance includes 64.789 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.
- F6Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.