SEC Form 4 · accession 0001127602-15-029892
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J Cadwallader
Officer — VP, Secretary & Gen. Counsel
Period of report
Oct 30, 2015
Accepted (ET)
Nov 2, 2015 · 12:22 pm EST
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 30, 2015 | M | 12,500 | $28.54 | A | 28,797 | D | |
| Common Stock | Oct 30, 2015 | M | 16,100 | $27.85 | A | 44,897 | D | |
| Common StockF2 | Oct 30, 2015 | S | 28,600 | $44.8162 | D | 16,297 | D | |
| Common Stock | Oct 30, 2015 | S | 28 | $45.21 | D | 16,270 | D | |
| Common StockF3 | Oct 30, 2015 | I | 5,603 | $45.18 | D | 0 | I | By 401(k) Plan Trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $28.54 | Oct 30, 2015 | M | 12,500 | D | Oct 7, 2013 | Oct 7, 2021 | Common Stock | 12,500 | 0 | D |
| Employee Stock Option (Right to Buy) | $27.85 | Oct 30, 2015 | M | 16,100 | D | Oct 5, 2014 | Oct 5, 2022 | Common Stock | 16,100 | 0 | D |
Explanation of responses
- F1The balance includes 10.913 shares acquired via dividend reinvestment on 10/2/2015.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $44.71 to $45.01, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 2 of this Form 4.
- F3The number of underlying securities is based on the stock fund balance on October 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 an October 30, 2015 stock fund price of $45.18 per unit.