Close

Form 4 JOHNSON CONTROLS INC For: Nov 18 Filed by: McDonald R Bruce

November 20, 2014 11:44 AM EST
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
  
 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person *
McDonald R Bruce
(Last) (First) (Middle)
5757 N. GREEN BAY AVENUE
P.O. BOX 591
(Street)
MILWAUKEE WI 53201-0591
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
JOHNSON CONTROLS INC [ JCI ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Exec VP & Vice Chairman
3. Date of Earliest Transaction (Month/Day/Year)
11/18/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Phantom Stock Units - Restricted Stock Plan $ 0 11/18/2014   A   24,885     (1)   (1) Common Stock 24,885 $ 0 292,658.566 D  
Employee Stock Option (Right to Buy) $ 50.23 11/18/2014   A   80,437   11/18/2016 (2) 11/18/2024 Common Stock 80,437 $ 0 80,437 D  
Employee Stock Option (Right to Buy) $ 22.5617             11/16/2007 11/16/2015 Common Stock 225,000   225,000 D  
Employee Stock Option (Right to Buy) $ 23.965             10/02/2008 10/02/2016 Common Stock 192,000   192,000 D  
Employee Stock Option (Right to Buy) $ 40.21             10/01/2009 10/01/2017 Common Stock 120,000   120,000 D  
Employee Stock Option (Right to Buy) $ 28.79             10/01/2010 10/01/2018 Common Stock 160,000   160,000 D  
Employee Stock Option (Right to Buy) $ 24.87             10/01/2011 10/01/2019 Common Stock 170,000   170,000 D  
Employee Stock Option (Right to Buy) $ 30.54             10/01/2012 10/01/2020 Common Stock 150,000   150,000 D  
Employee Stock Option (Right to Buy) $ 28.54             10/07/2013 10/07/2021 Common Stock 140,000   140,000 D  
Employee Stock Option (Right to Buy) $ 27.85             10/05/2014 (2) 10/05/2022 Common Stock 74,800   74,800 D  
Employee Stock Option (Right to Buy) $ 48.37             11/19/2015 (2) 11/19/2023 Common Stock 49,319   49,319 D  
Explanation of Responses:
1. 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.
2. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
/s/ Angela M. Blair, Attorney-In-Fact for R. Bruce McDonald 11/19/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

FREE Breaking News Alerts from StreetInsider.com!

E-mail Address

StreetInsider.com Top Tickers, 4/24/2024

1. TSLA
2. ENPH
3. TXN
4. BA
5. SPOT
6. META
7. IBM
8. V
9. KMB
10. SPY



Serious News for Serious Traders! Try StreetInsider.com Premium Free!

You May Also Be Interested In





Related Categories

SEC Filings