SEC Form 4 · accession 0001127602-15-028929

JOHNSON CONTROLS INC · JCI

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

Reporting owner

Officer — VP & Pres., Power Solutions

Period of report

Oct 7, 2015

Accepted (ET)

Oct 9, 2015 · 11:32 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	117	$43.86	A	31,290	D
Common Stock	Oct 7, 2015	D	117	$43.86	D	31,174	D
Common Stock	Oct 7, 2015	F	444	$43.86	D	30,730	D
Common Stock	Oct 7, 2015	A	15,002	$0.00	A	45,732	D
Common Stock^F1	Oct 7, 2015	A	45,006	$0.00	A	90,738	D
Common Stock^F2	holding	—	—		—	4,290	I	by 401k Plan Trustee

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Phantom Stock Units - Restricted Stock Plan^F5,F3,F4	—	Oct 7, 2015	M	117	D	—	—	Common Stock	117	93	D
Employee Stock Option (Right to Buy)^F6	$43.86	Oct 7, 2015	A	50,038	A	Oct 7, 2017	Oct 7, 2025	Common Stock	50,038	50,038	D
Employee Stock Option (Right to Buy)	$40.21	holding	—	—	—	Oct 1, 2009	Oct 1, 2017	Common Stock	9,600	9,600	D
Employee Stock Option (Right to Buy)	$28.79	holding	—	—	—	Oct 1, 2010	Oct 1, 2018	Common Stock	12,000	12,000	D
Employee Stock Option (Right to Buy)	$24.87	holding	—	—	—	Oct 1, 2011	Oct 1, 2019	Common Stock	15,000	15,000	D
Employee Stock Option (Right to Buy)	$30.54	holding	—	—	—	Oct 1, 2012	Oct 1, 2020	Common Stock	13,200	13,200	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	11,428	11,428	D
Employee Stock Option (Right to Buy)^F6	$50.23	holding	—	—	—	Nov 18, 2016	Nov 18, 2024	Common Stock	14,478	14,478	D
Employee Stock Option (Right to Buy)^F6	$46.31	holding	—	—	—	Jan 5, 2017	Jan 5, 2025	Common Stock	8,722	8,722	D

F1The balance includes 123.360 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. The balance also includes 2.407 shares acquired under the issuer's dividend reinvestment and common stock purchase plan since the reporting person's last report. These shares were acquired pursuant to the employee stock purchase plan provisions of the dividend reinvestment and common stock purchase plan, which acquisitions are exempt from Section 16.
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.
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.
F5Includes 64.79 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.
F6Fifty percent of the stock options vest after two years, and the remaining stock options vest after three years.