4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001127602-16-062040
CIK 0000053669operating
Filed
Sep 6, 8:00 PM ET
Accepted
Sep 7, 11:48 AM ET
Size
30.5 KB
Accession
0001127602-16-062040
Insider Transaction Report
Form 4
Jackson William C
EVP, Operations and Innovation
Transactions
- Tax Payment
Common Stock
2016-09-02$45.45/sh−2,912$132,350→ 126,090.835 total - Exercise/Conversion
Common Stock
2016-09-02+16,812.18→ 142,903.015 total - Disposition to Issuer
Common Stock
2016-09-02$48.90/sh−16,812.18$822,116→ 126,090.835 total - Disposition to Issuer
Phantom Stock Units - Restricted Stock Plan
2016-09-02−13,324.827→ 0 totalExercise: $0.00→ Common Stock (13,324.827 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−49,961→ 0 totalExercise: $43.86From: 2017-10-07Exp: 2025-10-07→ Common Stock (49,961 underlying) - Disposition to Issuer
Common Stock
2016-09-02−126,090.835→ 0 total - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−86,000→ 0 totalExercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (86,000 underlying) - Exercise/Conversion
Common Stock
2016-09-02+847.693→ 129,850.528 total - Disposition to Issuer
Common Stock
2016-09-02$45.45/sh−847.693$38,528→ 129,002.835 total - Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2016-09-02−847.693→ 30,137.007 totalExercise: $0.00→ Common Stock (847.693 underlying) - Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2016-09-02−16,812.18→ 13,324.827 totalExercise: $0.00→ Common Stock (16,812.18 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−41,441→ 0 totalExercise: $50.23From: 2016-11-18Exp: 2024-11-18→ Common Stock (41,441 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−53,800→ 0 totalExercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (53,800 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−40,952→ 0 totalExercise: $48.37From: 2015-11-19Exp: 2023-11-19→ Common Stock (40,952 underlying)
Footnotes (8)
- [F1]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").
- [F2]Includes 2,082.363 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.
- [F3]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").
- [F4]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F5]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.
- [F6]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
- [F7]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.
- [F8]Includes 1,187.671 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.
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, 11:48 AM ET
- Size
- 30.5 KB