SEC Form 4 · accession 0001127602-15-032729
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Davis
Officer — VP, Chief Human Resources Ofcr
Period of report
Nov 30, 2015
Accepted (ET)
Nov 30, 2015 · 4:36 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 30, 2015 | S | 1,300 | $45.9192 | D | 33,047 | D | |
| Common StockF3 | holding | — | — | — | 214 | I | By 401(k) Plan Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $45.91 to $45.93, 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 1 of this Form 4.
- F2The balance includes 55.738 shares acquired via automatic dividend reinvestment on October 2, 2015.
- F3The number of underlying securities is based on the stock fund balance on November 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 a November 30, 2015 stock fund price of $45.70 per share.