SEC Form 4 · accession 0001127602-16-061984

JOHNSON CONTROLS INC · JCI

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

Reporting owner

Officer — VP and Chief Marketing Officer

Period of report

Sep 2, 2016

Accepted (ET)

Sep 6, 2016 · 7:48 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,F2,F3	Sep 2, 2016	D	6,592	—	D	0	D
Common Stock^F3	Sep 2, 2016	D	18,291	—	D	0	I	By 401(k) Plan Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Employee Stock Option (Right to Buy)^F4	$30.54	Sep 2, 2016	D	9,500	D	Oct 1, 2012	Oct 1, 2020	Common Stock	9,500	D
Employee Stock Option (Right to Buy)^F4	$28.54	Sep 2, 2016	D	12,500	D	Oct 7, 2013	Oct 7, 2021	Common Stock	12,500	D
Employee Stock Option (Right to Buy)^F4	$27.85	Sep 2, 2016	D	16,100	D	Oct 5, 2014	Oct 5, 2022	Common Stock	16,100	D
Employee Stock Option (Right to Buy)^F4	$48.37	Sep 2, 2016	D	6,802	D	Nov 19, 2015	Nov 19, 2023	Common Stock	6,802	D
Employee Stock Option (Right to Buy)^F4,F5	$50.23	Sep 2, 2016	D	9,395	D	Nov 18, 2016	Nov 18, 2024	Common Stock	9,395	D
Employee Stock Option (Right to Buy)^F4,F5	$43.86	Sep 2, 2016	D	12,775	D	Oct 7, 2017	Oct 7, 2025	Common Stock	12,775	D
Phantom Stock Units - Restricted Stock Plan^F6,F7,F8	$0.00	Sep 2, 2016	D	18,814	D	—	—	Common Stock	18,814	D

F1Includes 253.063 shares acquired via dividend reinvestment on July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $51.36 per share.
F2The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") in connection with the closing of the merger between Johnson Controls, Inc. ("Johnson Controls") and JCI plc (the "merger").
F3Each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash in connection with the closing of the merger.
F4The 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.
F5Fifty percent of the options vest after two years and the remaining 50% vests after three years.
F6Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
F7The phantom stock units accrue under the Johnson Controls Restricted Stock Plan and settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements.
F8Includes 586.66 units acquired via dividend reinvestment on January 6, April 2, July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $50.16 per unit.