4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001127602-16-061986
CIK 0000053669operating
Filed
Sep 5, 8:00 PM ET
Accepted
Sep 6, 7:53 PM ET
Size
18.2 KB
Accession
0001127602-16-061986
Insider Transaction Report
Form 4
Nevill Trent M
VP, President, Asia Pacific
Transactions
- Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−11,406→ 0 totalExercise: $43.86From: 2017-10-07Exp: 2025-10-07→ Common Stock (11,406 underlying) - Disposition to Issuer
Phantom Stock Units - Restricted Stock Plan
2016-09-02−13,922.44→ 0 total→ Common Stock (13,922.44 underlying) - Disposition to Issuer
Common Stock
2016-09-02−10,656.295→ 0 total - Disposition to Issuer
Common Stock
2016-09-02−7,962.785→ 0 total(indirect: By Trust) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−12,900→ 0 totalExercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (12,900 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−9,652→ 0 totalExercise: $50.23From: 2016-11-18Exp: 2024-11-18→ Common Stock (9,652 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−4,427→ 0 totalExercise: $37.66From: 2017-10-07Exp: 2026-03-15→ Common Stock (4,427 underlying)
Footnotes (8)
- [F1]Includes 64.016 shares acquired via dividend reinvestment on April 4, July 5 and August 19, 2016 at prices ranging from $38.76 to $45.03 per share.
- [F2]The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") in connection with the closing of the merger between Johnson Controls, Inc. ("Johnson Controls") and JCI plc (the "merger").
- [F3]Each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash in connection with the closing of the merger.
- [F4]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.
- [F5]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
- [F6]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F7]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.
- [F8]Includes 212.868 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.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeoperating
IncorporatedWI
Related Parties
1- filerCIK 0000053669
Filing Metadata
- Form type
- 4
- Filed
- Sep 5, 8:00 PM ET
- Accepted
- Sep 6, 7:53 PM ET
- Size
- 18.2 KB