SEC Form 4 · accession 0001127602-15-034218
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
Dec 15, 2015
Accepted (ET)
Dec 16, 2015 · 2:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000053669
Table I — non-derivative securities
No Table I lines on this filing.
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 - Annual Incentive PlanF3,F1,F2 | — | Dec 15, 2015 | A | 17,415 | A | — | — | Common Stock | 17,415 | 91,901 | D |
| Phantom Stock Units - Long Term Incentive PlanF4,F1,F2 | — | holding | — | — | — | — | — | Common Stock | 35,908 | 35,908 | D |
Explanation of responses
- F1Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- F2The 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.
- F3The balance includes 1510.903 dividend equivalents units acquired on January 5, April 2, July 2 and October 2, 2015 at prices ranging from $42.33 to $50.16 per unit.
- F4The balance includes 937.950 dividend equivalent units acquired on January 6, April 2, July 2, and October 2, 2014, and January 5, April 2, July 2, and October 2, 2015 at prices ranging from $44.68 to $50.92 per unit.