SEC Form 4 · accession 0001127602-16-062035

JOHNSON CONTROLS INC · JCI

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

Reporting owner

Officer — VP, Chief Human Resources Ofcr

Period of report

Sep 2, 2016

Accepted (ET)

Sep 7, 2016 · 11:12 am 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	Nov 30, 2015	G	545	$0.00	D	32,502	D
Common Stock	Sep 2, 2016	F	495	$45.45	D	32,694	D
Common Stock^F2	Sep 2, 2016	D	32,694	—	D	0	D
Common Stock	Sep 2, 2016	M	137	$0.00	A	137	D
Common Stock	Sep 2, 2016	D	137	$45.45	D	0	D
Common Stock^F2	Sep 2, 2016	D	500	—	D	0	I	By 401(k) Plan Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F3	$24.87	Sep 2, 2016	D	11,300	D	Oct 1, 2011	Oct 1, 2019	Common Stock	11,300	0	D
Employee Stock Option (Right to Buy)^F3	$30.54	Sep 2, 2016	D	9,500	D	Oct 1, 2012	Oct 1, 2020	Common Stock	9,500	0	D
Employee Stock Option (Right to Buy)^F3	$28.54	Sep 2, 2016	D	12,500	D	Oct 7, 2013	Oct 7, 2021	Common Stock	12,500	0	D
Employee Stock Option (Right to Buy)^F3	$27.85	Sep 2, 2016	D	16,100	D	Oct 5, 2014	Oct 5, 2022	Common Stock	16,100	0	D
Employee Stock Option (Right to Buy)^F3	$48.37	Sep 2, 2016	D	10,204	D	Nov 19, 2015	Nov 19, 2023	Common Stock	10,204	0	D
Employee Stock Option (Right to Buy)^F3,F4	$50.23	Sep 2, 2016	D	18,661	D	Nov 18, 2016	Nov 18, 2024	Common Stock	18,661	0	D
Employee Stock Option (Right to Buy)^F3,F4	$43.86	Sep 2, 2016	D	24,942	D	Oct 7, 2017	Oct 7, 2025	Common Stock	24,942	0	D
Phantom Stock Units - Restricted Stock Plan^F7,F5,F6	—	Sep 2, 2016	M	137	D	—	—	Common Stock	137	15,384	D
Phantom Stock Units - Restricted Stock Plan^F5,F6	—	Sep 2, 2016	D	15,384	D	—	—	Common Stock	15,384	0	D

F1Includes 646.842 shares acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per share.
F2Each 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").
F3The 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.
F4Fifty percent of the options vest after two years and the remaining 50% vest after three years.
F5Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock, and the phantom stock units were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger.
F6The 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.
F7Includes 470.5 units acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per unit.