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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units - Restricted Stock Plan | (3) | 10/07/2015 | M | 116.657 | (4) | (4) | Common Stock | 116.657 | $ 0 | 92.584 (5) | D | ||||
Employee Stock Option (Right to Buy) | $ 43.86 | 10/07/2015 | A | 50,038 | 10/07/2017(6) | 10/07/2025 | Common Stock | 50,038 | $ 0 | 50,038 | D | ||||
Employee Stock Option (Right to Buy) | $ 40.21 | 10/01/2009 | 10/01/2017 | Common Stock | 9,600 | 9,600 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 28.79 | 10/01/2010 | 10/01/2018 | Common Stock | 12,000 | 12,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 24.87 | 10/01/2011 | 10/01/2019 | Common Stock | 15,000 | 15,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 30.54 | 10/01/2012 | 10/01/2020 | Common Stock | 13,200 | 13,200 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 28.54 | 10/07/2013 | 10/07/2021 | Common Stock | 12,500 | 12,500 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 27.85 | 10/05/2014 | 10/05/2022 | Common Stock | 16,100 | 16,100 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 48.37 | 11/19/2015(6) | 11/19/2023 | Common Stock | 11,428 | 11,428 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 50.23 | 11/18/2016(6) | 11/18/2024 | Common Stock | 14,478 | 14,478 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 46.31 | 01/05/2017(6) | 01/05/2025 | Common Stock | 8,722 | 8,722 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Walicki Joseph A 5757 N GREEN BAY AVE MILWAUKEE, WI 53209 |
VP & Pres., Power Solutions |
/s/ Angela M. Blair, Attorney-in-Fact for Joseph A. Walicki | 10/09/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The balance includes 123.360 shares acquired via dividend reinvestment on January 5, April 2 and July 2, 2015 at prices ranging from $46.31 to $50.16 per share. The balance also includes 2.407 shares acquired under the issuer's dividend reinvestment and common stock purchase plan since the reporting person's last report. These shares were acquired pursuant to the employee stock purchase plan provisions of the dividend reinvestment and common stock purchase plan, which acquisitions are exempt from Section 16. |
(2) | The number of underlying securities is based on the stock fund balance on September 29, 2015. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consisting of 96% company stock and 4% money market fund. The stock account balance reflected in this report is based on a September 29, 2015 stock fund price of $39.80 per share. |
(3) | Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. |
(4) | The 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 restricted stock awards. |
(5) | Includes 64.79 phantom stock units acquired via dividend reinvestment on January 5, April 2, July 2 and October 2, 2015 at prices ranging from $42.33 to $50.16 per unit. |
(6) | Fifty percent of the stock options vest after two years, and the remaining stock options vest after three years. |