SEC Form 4 · accession 0001127602-16-038501
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Joerres
Director
Period of report
Jan 27, 2016
Accepted (ET)
Jan 29, 2016 · 4:57 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 / Directors' Deferred Compensation PlanF1,F2 | — | Jan 27, 2016 | A | 4,127 | A | — | — | Common Stock | 4,127 | 89,184 | D |
| Phantom Stock Units / Directors' Deferred Compensation PlanF3,F1,F2 | — | Jan 27, 2016 | A | 1,139 | A | — | — | Common Stock | 1,139 | 90,323 | D |
| Phantom Stock Units/ Directors' Share Unit PlanF4,F1,F2 | — | holding | — | — | — | — | — | Common Stock | 12,070 | 12,070 | 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 Directors' Deferred Compensation Plan and settle 100% in cash upon the reporting person's retirement. The reporting person has the right to transfer the value of the phantom stock account into an alternative investment account within the plan.
- F3The balance includes 1,144.637 phantom stock units acquired via dividend reinvestment on October 2, 2015 and January 5, 2016, at prices ranging from $38.58 to $42.33 per unit.
- F4The balance includes 163.184 phantom stock units acquired via dividend reinvestment on October 2, 2015 and January 5, 2016, at prices ranging from $38.58 to $42.33 per unit.