4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001127602-16-062042
CIK 0000053669operating
Filed
Sep 6, 8:00 PM ET
Accepted
Sep 7, 11:59 AM ET
Size
34.9 KB
Accession
0001127602-16-062042
Insider Transaction Report
Form 4
Walicki Joseph A
VP & Pres., Power Solutions
Transactions
- Tax Payment
Common Stock
2016-09-02$45.45/sh−495$22,498→ 92,332.515 total - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−9,600→ 0 totalExercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (9,600 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−15,000→ 0 totalExercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (15,000 underlying) - 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)
2016-09-02−16,100→ 0 totalExercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (16,100 underlying) - Disposition to Issuer
Common Stock
2016-09-02−4,419.895→ 0 total(indirect: By Trust) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−12,000→ 0 totalExercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (12,000 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−13,200→ 0 totalExercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (13,200 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−8,722→ 0 totalExercise: $46.31From: 2017-01-05Exp: 2025-01-05→ Common Stock (8,722 underlying) - Disposition to Issuer
Common Stock
2016-09-02−92,332.515→ 0 total - Exercise/Conversion
Common Stock
2016-09-02+136.572→ 136.572 total - Disposition to Issuer
Common Stock
2016-09-02$45.45/sh−136.572$6,207→ 0 total - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−50,038→ 0 totalExercise: $43.86From: 2017-10-07Exp: 2025-10-07→ Common Stock (50,038 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−11,428→ 0 totalExercise: $48.37From: 2015-11-19Exp: 2023-11-19→ Common Stock (11,428 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−14,478→ 0 totalExercise: $50.23From: 2016-11-18Exp: 2024-11-18→ Common Stock (14,478 underlying) - Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2016-09-02−136.572→ 0 total→ Common Stock (136.572 underlying)
Footnotes (7)
- [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").
- [F2]Includes 2,059.74 shares 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 share.
- [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 stock options vest after two years, and the remaining stock options 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 43.99 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, 11:59 AM ET
- Size
- 34.9 KB