SEC Form 4 · accession 0001127602-16-061999

JOHNSON CONTROLS INC · JCI

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

Reporting owner

Director

Period of report

Sep 2, 2016

Accepted (ET)

Sep 6, 2016 · 8:49 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
Common Stock	Jun 6, 2014	G	13,115	$0.00	D	2,875	D
Common Stock	Aug 4, 2016	G	2,875	$0.00	D	0	D
Common Stock^F1	Sep 2, 2016	M	62,256	—	A	62,256	D
Common Stock^F1	Sep 2, 2016	M	23,944	—	A	86,199	D
Common Stock	Sep 2, 2016	D	86,199	$48.90	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Phantom Stock Units / Directors' Deferred Compensation Plan^F1,F2,F3	—	Sep 2, 2016	M	62,256	D	—	—	Common Stock	62,256	0	D
Phantom Stock Units/ Directors' Share Unit Plan^F1,F2,F4	—	Sep 2, 2016	M	23,944	D	—	—	Common Stock	23,944	0	D

F1The phantom stock units accrued under the Johnson Controls Directors' Deferred Compensation Plan and were settled 100% in cash in connection with the merger between Johnson Controls, Inc. ("Johnson Controls") and Johnson Controls International plc (formerly Tyco International plc).
F2Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
F3Includes 1,271.061 units acquired via dividend reinvestment on April 4, July 5 and August 19, 2016 at prices ranging from $38.76 to $45.03 per unit.
F4Includes 488.85 units acquired via dividend reinvestment on April 4, July 5 and August 19, 2016 at prices ranging from $38.76 to $45.03 per unit.