SEC Form 4 · accession 0001127602-15-028925
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey M Williams
Officer — VP, Enterprise Ops & Enginrg
Period of report
Oct 7, 2015
Accepted (ET)
Oct 9, 2015 · 10:05 am 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 | M | 202 | $43.86 | A | 62,233 | D | |
| Common Stock | Oct 7, 2015 | D | 202 | $43.86 | D | 62,032 | D | |
| Common Stock | Oct 7, 2015 | A | 9,211 | $0.00 | A | 71,243 | D | |
| Common StockF1 | Oct 7, 2015 | A | 27,667 | $0.00 | A | 98,910 | 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 PlanF4,F2,F3 | — | Oct 7, 2015 | M | 202 | D | — | — | Common Stock | 202 | 2,460 | D |
| Employee Stock Option (Right to Buy)F5 | $43.86 | Oct 7, 2015 | A | 30,722 | A | Oct 7, 2017 | Oct 7, 2025 | Common Stock | 30,722 | 30,722 | 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 | 24,000 | 24,000 | 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 | 28,500 | 28,500 | D |
| Employee Stock Option (Right to Buy) | $27.85 | holding | — | — | — | Oct 5, 2014 | Oct 5, 2022 | Common Stock | 36,700 | 36,700 | D |
| Employee Stock Option (Right to Buy)F5 | $48.37 | holding | — | — | — | Nov 19, 2015 | Nov 19, 2023 | Common Stock | 17,687 | 17,687 | D |
| Employee Stock Option (Right to Buy)F5 | $50.23 | holding | — | — | — | Nov 18, 2016 | Nov 18, 2024 | Common Stock | 19,305 | 19,305 | D |
| Employee Stock Option (Right to Buy)F5 | $46.31 | holding | — | — | — | Jan 5, 2017 | Jan 5, 2025 | Common Stock | 5,931 | 5,931 | D |
Explanation of responses
- F1The balance includes 203.964 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.
- 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. The balance includes dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
- F4The balance includes 821.26 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 unit.
- F5Fifty percent of the stock options vest after two years, and the remaining fifty percent vest after three years.