SEC Form 4 · accession 0001127602-15-031951
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alex A Molinaroli
Officer — Chairman & CEO
Period of report
Nov 17, 2015
Accepted (ET)
Nov 19, 2015 · 2:39 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,F2 | Nov 17, 2015 | A | 124,999 | $0.00 | A | 432,090 | D | |
| Common StockF3 | holding | — | — | — | 50,184 | I | by 401(k) Trustee |
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,F6,F4,F5 | $0.00 | Nov 17, 2015 | A | 41,666 | A | — | — | Common Stock | 41,666 | 146,650 | D |
Explanation of responses
- F1Represents performance share units for the three-year performance period ended September 30, 2015. The Compensation Committee certified the performance results on November 17, 2015. Vesting and receipt of the related shares is deferred to a future date.
- F2Includes 520.554 shares acquired via automatic dividend reinvestment on October 2, 2015.
- F3The number of underlying securities is based on the stock fund balance on November 18, 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 November 18, 2015, stock fund price of $45.51 per share.
- F4Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- F5The phantom stock units accrue under the Johnson Controls Executive Deferred Compensation Plan, and settle 100% in cash upon the reporting person's termination or retirement. The reporting person may transfer the value of the phantom stock units into an alternative investment account within the plan.
- F6Includes 173.520 units acquired via automatic dividend reinvestment on October 2, 2015.