4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001127602-16-062035
CIK 0000053669operating
Filed
Sep 6, 8:00 PM ET
Accepted
Sep 7, 11:12 AM ET
Size
32.1 KB
Accession
0001127602-16-062035
Insider Transaction Report
Form 4
Davis Simon
Vice President & ACHRO
Transactions
- Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−12,500→ 0 totalExercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (12,500 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−9,500→ 0 totalExercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (9,500 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−16,100→ 0 totalExercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (16,100 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−18,661→ 0 totalExercise: $50.23From: 2016-11-18Exp: 2024-11-18→ Common Stock (18,661 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−24,942→ 0 totalExercise: $43.86From: 2017-10-07Exp: 2025-10-07→ Common Stock (24,942 underlying) - Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2016-09-02−136.57→ 15,383.513 total→ Common Stock (136.57 underlying) - Gift
Common Stock
2015-11-30−545→ 32,502.401 total - Tax Payment
Common Stock
2016-09-02$45.45/sh−495$22,498→ 32,694.243 total - Disposition to Issuer
Common Stock
2016-09-02−32,694.243→ 0 total - Exercise/Conversion
Common Stock
2016-09-02+136.57→ 136.57 total - Disposition to Issuer
Common Stock
2016-09-02$45.45/sh−136.57$6,207→ 0 total - Disposition to Issuer
Common Stock
2016-09-02−500.368→ 0 total(indirect: By Trust) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−10,204→ 0 totalExercise: $48.37From: 2015-11-19Exp: 2023-11-19→ Common Stock (10,204 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−11,300→ 0 totalExercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (11,300 underlying) - Disposition to Issuer
Phantom Stock Units - Restricted Stock Plan
2016-09-02−15,383.513→ 0 total→ Common Stock (15,383.513 underlying)
Footnotes (7)
- [F1]Includes 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.
- [F2]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").
- [F3]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.
- [F4]Fifty percent of the options vest after two years and the remaining 50% vest after three years.
- [F5]Each 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.
- [F6]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.
- [F7]Includes 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.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeoperating
IncorporatedWI
Related Parties
1- filerCIK 0000053669
Filing Metadata
- Form type
- 4
- Filed
- Sep 6, 8:00 PM ET
- Accepted
- Sep 7, 11:12 AM ET
- Size
- 32.1 KB