SEC Form 4 · accession 0001127602-16-061975

JOHNSON CONTROLS INC · JCI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — VP & Chief Procurement Officer

Period of report

Sep 2, 2016

Accepted (ET)

Sep 6, 2016 · 7:29 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^F1	Sep 2, 2016	D	8,806	—	D	0	I	By Spouse as Trustee
Common Stock	Sep 2, 2016	M	226	$0.00	A	23,835	D
Common Stock	Sep 2, 2016	F	819	$45.45	D	23,016	D
Common Stock	Sep 2, 2016	D	226	$45.45	D	22,790	D
Common Stock^F2,F3,F1	Sep 2, 2016	D	22,790	—	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Phantom Stock Units - Restricted Stock Plan^F4,F5	—	Sep 2, 2016	M	226	D	—	—	Common Stock	226	D
Employee Stock Option (Right to Buy)^F6	$28.54	Sep 2, 2016	D	6,250	D	Oct 7, 2013	Oct 7, 2021	Common Stock	6,250	D
Employee Stock Option (Right to Buy)^F6	$27.85	Sep 2, 2016	D	10,750	D	Oct 5, 2014	Oct 5, 2022	Common Stock	10,750	D
Employee Stock Option (Right to Buy)^F6	$48.37	Sep 2, 2016	D	11,428	D	Nov 19, 2015	Nov 19, 2023	Common Stock	11,428	D
Employee Stock Option (Right to Buy)^F6,F7	$50.23	Sep 2, 2016	D	9,652	D	Nov 18, 2016	Nov 18, 2024	Common Stock	9,652	D
Employee Stock Option (Right to Buy)^F6,F7	$43.86	Sep 2, 2016	D	11,634	D	Oct 7, 2017	Oct 7, 2025	Common Stock	11,634	D

F1Each share of Johnson Controls, Inc. ("Johnson Controls") was converted into 0.8357 ordinary shares of Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") and $5.7293 in cash in connection with the closing of the merger between Johnson Controls and JCI plc (the "merger").
F2Includes 628.739 shares acquired via dividend reinvestment on October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $39.08 to $50.39 per share.
F3The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger.
F4Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
F5The phantom stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes dividend equivalent units that settle 100% in cash and relate to unvested restricted stock awards.
F6The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger.
F7Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after the grant date.