JOHNSON CONTROLS INC 4

Accession 0001127602-16-061971

CIK 0000053669operating

View on SEC.gov Company Profile

Filed

Sep 5, 8:00 PM ET

Accepted

Sep 6, 7:22 PM ET

Size

49.3 KB

Accession

0001127602-16-061971

Insider Transaction Report

Form 4

Period: 2016-09-02

JOHNSON CONTROLS INCJCI

VOLTOLINA FRANK A

Vice President and Treasurer

Transactions

Disposition to Issuer
Common Stock
2016-09-02−47,099.581→ 0 total
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−48,000→ 0 total
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (48,000 underlying)
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−32,500→ 0 total
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (32,500 underlying)
Disposition to Issuer
Common Stock
2016-09-02−7,396.51→ 0 total(indirect: By Trust)
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−11,840→ 0 total
Exercise: $50.23From: 2016-11-18Exp: 2024-11-18→ Common Stock (11,840 underlying)
Exercise/Conversion
Common Stock
2016-09-02+6,023.19→ 53,122.771 total
Exercise/Conversion
Common Stock
2016-09-02+13,644.381→ 60,743.962 total
Exercise/Conversion
Common Stock
2016-09-02+3,391.982→ 50,491.563 total
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−35,000→ 0 total
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying)
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−14,296→ 0 total
Exercise: $43.86From: 2017-10-07Exp: 2025-10-07→ Common Stock (14,296 underlying)
Disposition to Issuer
Common Stock
2016-09-02$48.90/sh−3,391.982$165,868→ 47,099.581 total
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−18,600→ 0 total
Exercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (18,600 underlying)
Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2016-09-02−3,391.982→ 60,601.96 total
Exercise: $0.00→ Common Stock (3,391.982 underlying)
Disposition to Issuer
Phantom Stock Units - Restricted Stock Plan
2016-09-02−25,447.269→ 0 total
Exercise: $0.00→ Common Stock (25,447.269 underlying)
Exercise/Conversion
Phantom Stock Units - Long Term Incentive Plan
2016-09-02−6,023.19→ 0 total
→ Common Stock (6,023.19 underlying)
Exercise/Conversion
Phantom Stock Units - Retirement Restoration Plan
2016-09-02−13,644.381→ 0 total
→ Common Stock (13,644.381 underlying)
Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2016-09-02−35,154.691→ 25,447.269 total
Exercise: $0.00→ Common Stock (35,154.691 underlying)
Disposition to Issuer
Common Stock
2016-09-02$48.90/sh−6,023.19$294,534→ 47,099.581 total
Disposition to Issuer
Common Stock
2016-09-02$48.90/sh−13,644.381$667,210→ 47,099.581 total
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−36,000→ 0 total
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying)
Exercise/Conversion
Common Stock
2016-09-02+35,154.691→ 82,254.272 total
Disposition to Issuer
Common Stock
2016-09-02$48.90/sh−35,154.691$1,719,064→ 47,099.581 total
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−48,000→ 0 total
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (48,000 underlying)
Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−12,176→ 0 total
Exercise: $48.37From: 2015-11-19Exp: 2023-11-19→ Common Stock (12,176 underlying)

Footnotes (11)

[F1]Each 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").
[F10]The 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.
[F11]Includes 1,840.75 units 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 unit.
[F2]The 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.
[F3]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
[F4]Fifty percent of the options vest after two years and the remaining 50% vests after three years.
[F5]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
[F6]The phantom stock units accrued under the Johnson Controls Long-Term Incentive Plan and were settled 100% in cash.
[F7]Includes 518.474 units acquired via dividend reinvestment on December 28, 2012, April 2, July 2, October 2, 2013, January 6, April 2, July 2, October 2, 2014, January 5, April 2, July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $30.11 to $50.92 per unit.
[F8]The phantom stock units accrued under the Johnson Controls Retirement Restoration Plan and settled 100% in cash.
[F9]Includes 1,174.505 units acquired via dividend reinvestment on December 28, 2012, April 2, July 2, October 2, 2013, January 6, April 2, July 2, October 2, 2014, January 5, April 2, July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $30.11 to $50.92 per unit.

Documents

1 file

4
form4.xmlPrimary
PRIMARY DOCUMENT

Issuer

JOHNSON CONTROLS INC

CIK 0000053669

→

Entity typeoperating

IncorporatedWI

Related Parties

filerCIK 0000053669

Filing Metadata

Form type: 4
Filed: Sep 5, 8:00 PM ET
Accepted: Sep 6, 7:22 PM ET
Size: 49.3 KB

View on SEC.gov