SEC Form 4 · accession 0001127602-16-049920
JOHNSON CONTROLS INC · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank A Voltolina
Officer — Vice President and Treasurer
Period of report
Apr 22, 2016
Accepted (ET)
Apr 26, 2016 · 5:19 pm EDT
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 Stock | Apr 22, 2016 | M | 2,600 | $23.965 | A | 49,700 | D | |
| Common StockF1 | Apr 22, 2016 | D | 2,600 | $42.0627 | D | 47,100 | D | |
| Common Stock | Apr 26, 2016 | M | 45,400 | $23.965 | A | 92,500 | D | |
| Common StockF2 | Apr 26, 2016 | D | 45,400 | $42.1982 | D | 47,100 | D | |
| Common StockF3 | holding | — | — | — | 7,325 | I | By 401(k) Plan Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $23.965 | Apr 22, 2016 | M | 2,600 | D | Oct 2, 2008 | Oct 2, 2016 | Common Stock | 2,600 | 45,400 | D |
| Employee Stock Option (Right to Buy) | $23.965 | Apr 26, 2016 | M | 45,400 | D | Oct 2, 2008 | Oct 2, 2016 | Common Stock | 45,400 | 0 | D |
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 $42.06 to $42.07, 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 price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42.06 to $42.29, 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 2 of this Form 4.
- F3The number of underlying securities is based on the stock fund balance on April 21, 2016. 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 an April 21, 2016, stock fund price of $41.58 per share.