SEC Form 4 · accession 0001127602-16-061988

JOHNSON CONTROLS INC · JCI

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

Reporting owner

Officer — VP, Corporate Controller

Period of report

Sep 2, 2016

Accepted (ET)

Sep 6, 2016 · 7:57 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	10,698	—	D	0	D
Common Stock^F3	Sep 2, 2016	D	498	—	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	$27.85	Sep 2, 2016	D	10,200	D	Oct 5, 2014	Oct 5, 2022	Common Stock	10,200	D
Employee Stock Option (Right to Buy)^F4,F5	$50.23	Sep 2, 2016	D	3,989	D	Nov 18, 2016	Nov 18, 2024	Common Stock	3,989	D
Employee Stock Option (Right to Buy)^F4,F5	$43.86	Sep 2, 2016	D	5,703	D	Oct 7, 2017	Oct 7, 2025	Common Stock	5,703	D

F1The 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").
F2Includes 308.483 shares acquired via dividend reinvestment on October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per share.
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 become exercisable two years after grant date; the remaining 50%, three years after grant date.