SEC Form 4 · accession 0001127602-15-028915

JOHNSON CONTROLS INC · JCI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — VP, Corporate Controller

Period of report

Oct 7, 2015

Accepted (ET)

Oct 8, 2015 · 5:43 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	1,709	$0.00	A	5,295	D
Common Stock^F1	Oct 7, 2015	A	5,095	$0.00	A	10,390	D
Common Stock^F2	holding	—	—		—	484	I	By 401(k) Plan Trust

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	5,703	A	Oct 7, 2017	Oct 7, 2025	Common Stock	5,703	5,703	D
Employee Stock Option (Right to Buy)	$27.85	holding	—	—	—	Oct 5, 2014	Oct 5, 2022	Common Stock	10,200	10,200	D
Employee Stock Option (Right to Buy)^F3	$50.23	holding	—	—	—	Nov 18, 2016	Nov 18, 2024	Common Stock	3,989	3,989	D

F1The balance includes 52.202 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 September 29, 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 29, 2015 stock fund price of $39.80 per share.
F3Fifty percent of the options become exercisable two years after grant date; the remaining 50%, three years after grant date.