SEC Form 4 · accession 0001127602-15-028902
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J Stief
Officer — EVP & Chief Financial Officer
Period of report
Oct 7, 2015
Accepted (ET)
Oct 8, 2015 · 5:04 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units - Restricted Stock PlanF1,F2 | $0.00 | Oct 7, 2015 | A | 13,679 | A | — | — | Common Stock | 13,679 | 118,145 | D |
| Phantom Stock Units - Restricted Stock PlanF3,F1,F2 | $0.00 | Oct 7, 2015 | A | 41,039 | A | — | — | Common Stock | 41,039 | 159,184 | D |
| Employee Stock Option (Right to Buy)F4 | $43.86 | Oct 7, 2015 | A | 45,627 | A | Oct 7, 2017 | Oct 7, 2025 | Common Stock | 45,627 | 45,627 | 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 | 34,500 | 34,500 | D |
| Employee Stock Option (Right to Buy) | $27.85 | holding | — | — | — | Oct 5, 2014 | Oct 5, 2022 | Common Stock | 21,500 | 21,500 | D |
| Employee Stock Option (Right to Buy)F4 | $48.37 | holding | — | — | — | Nov 19, 2015 | Nov 19, 2023 | Common Stock | 14,353 | 14,353 | D |
| Employee Stock Option (Right to Buy)F4 | $50.23 | holding | — | — | — | Nov 18, 2016 | Nov 18, 2024 | Common Stock | 32,175 | 32,175 | D |
Explanation of responses
- F1Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- F2The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock and dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
- F3Includes 2,199 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.
- F4Fifty percent of the options vest after two years and the remaining 50% vests after three years.