4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001127602-16-062047
CIK 0000053669operating
Filed
Sep 6, 8:00 PM ET
Accepted
Sep 7, 12:43 PM ET
Size
36.4 KB
Accession
0001127602-16-062047
Insider Transaction Report
Form 4
Williams Jeffrey M
VP, Enterprise Ops & Enginrg
Transactions
- Tax Payment
Common Stock
2016-09-02$45.45/sh−12,500$568,125→ 86,379.798 total - Disposition to Issuer
Common Stock
2016-09-02$45.45/sh−3,529.434$160,413→ 86,379.798 total - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−36,000→ 0 totalExercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−17,687→ 0 totalExercise: $48.37From: 2015-11-19Exp: 2023-11-19→ Common Stock (17,687 underlying) - Tax Payment
Common Stock
2016-09-02$45.45/sh−1,542$70,084→ 98,879.798 total - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−5,931→ 0 totalExercise: $46.31From: 2017-01-05Exp: 2025-01-05→ Common Stock (5,931 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−30,722→ 0 totalExercise: $43.86From: 2017-10-07Exp: 2025-10-07→ Common Stock (30,722 underlying) - Exercise/Conversion
Common Stock
2016-09-02+296.691→ 86,676.489 total - Disposition to Issuer
Common Stock
2016-09-02−86,379.798→ 0 total - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−35,000→ 0 totalExercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−36,700→ 0 totalExercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (36,700 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−19,305→ 0 totalExercise: $50.23From: 2016-11-18Exp: 2024-11-18→ Common Stock (19,305 underlying) - Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2016-09-02−3,232.743→ 0 total→ Common Stock (3,232.743 underlying) - Exercise/Conversion
Common Stock
2016-09-02+3,232.743→ 89,909.232 total - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−24,000→ 0 totalExercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (24,000 underlying) - Disposition to Issuer
Employee Stock Option (Right to Buy)
2016-09-02−28,500→ 0 totalExercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (28,500 underlying) - Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2016-09-02−296.691→ 3,232.743 total→ Common Stock (296.691 underlying)
Footnotes (8)
- [F1]Includes 1,521.29 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.
- [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 stock options vest after two years, and the remaining fifty percent vest after three years.
- [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 1,069.65 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, 12:43 PM ET
- Size
- 36.4 KB