SEC Form 4 · accession 0001127602-15-031954
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J Stief
Officer — EVP & Chief Financial Officer
Period of report
Nov 17, 2015
Accepted (ET)
Nov 19, 2015 · 3:00 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 | Nov 17, 2015 | A | 12,538 | $0.00 | A | 20,038 | 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 PlanF1,F4,F2,F3 | $0.00 | Nov 17, 2015 | A | 12,538 | A | — | — | Common Stock | 12,538 | 171,812 | 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.
- 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 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.
- F4Includes 89.84 units acquired via automatic dividend reinvestment on October 2, 2015.