Earnings Feed
Start Free
Home/Filings/4/0001127602-16-062033
4//SEC Filing

JOHNSON CONTROLS INC 4

Accession 0001127602-16-062033

CIK 0000053669operating
View on SEC.govCompany Profile

Filed

Sep 6, 8:00 PM ET

Accepted

Sep 7, 11:04 AM ET

Size

50.1 KB

Accession

0001127602-16-062033

Insider Transaction Report

Form 4
Period: 2016-09-02
JOHNSON CONTROLS INCJCI
Molinaroli Alex A
Vice President
Transactions
  • Exercise/Conversion

    Phantom Stock Units - Restricted Stock Plan

    2016-09-02−45,304.543→ 107,977.888 total
    Exercise: $0.00→ Common Stock (45,304.543 underlying)
  • Disposition to Issuer

    Employee Stock Option (Right to Buy)

    2016-09-02−90,000→ 0 total
    Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (90,000 underlying)
  • Disposition to Issuer

    Employee Stock Option (Right to Buy)

    2016-09-02−135,000→ 0 total
    Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (135,000 underlying)
  • Exercise/Conversion

    Common Stock

    2016-09-02+36,932.248→ 447,167.586 total
  • Disposition to Issuer

    Employee Stock Option (Right to Buy)

    2016-09-02−217,604→ 0 total
    Exercise: $43.86From: 2017-10-07Exp: 2025-10-07→ Common Stock (217,604 underlying)
  • Disposition to Issuer

    Employee Stock Option (Right to Buy)

    2016-09-02−125,000→ 0 total
    Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (125,000 underlying)
  • Disposition to Issuer

    Common Stock

    2016-09-02−315,847.717→ 0 total
  • Exercise/Conversion

    Phantom Stock Units - Annual Incentive Plan

    2016-09-02−94,387.621→ 0 total
    Exercise: $0.00→ Common Stock (94,387.621 underlying)
  • Exercise/Conversion

    Phantom Stock Units - Long Term Incentive Plan

    2016-09-02−36,932.248→ 0 total
    Exercise: $0.00→ Common Stock (36,932.248 underlying)
  • Disposition to Issuer

    Employee Stock Option (Right to Buy)

    2016-09-02−72,900→ 0 total
    Exercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (72,900 underlying)
  • Disposition to Issuer

    Common Stock

    2016-09-02−26,823.865→ 0 total(indirect: By Trust)
  • Exercise/Conversion

    Common Stock

    2016-09-02+94,387.621→ 410,235.338 total
  • Exercise/Conversion

    Common Stock

    2016-09-02+13,295.433→ 505,767.562 total
  • Disposition to Issuer

    Common Stock

    2016-09-02$48.90/sh−94,387.621$4,615,555→ 411,379.941 total
  • Disposition to Issuer

    Common Stock

    2016-09-02$48.90/sh−45,304.543$2,215,392→ 329,143.15 total
  • Disposition to Issuer

    Phantom Stock Units - Retirement Restoration Plan

    2016-09-02−16,287.616→ 0 total
    Exercise: $0.00→ Common Stock (16,287.616 underlying)
  • Exercise/Conversion

    Phantom Stock Units - Restricted Stock Plan

    2016-09-02−13,295.433→ 94,682.455 total
    Exercise: $0.00→ Common Stock (13,295.433 underlying)
  • Disposition to Issuer

    Phantom Stock Units - Restricted Stock Plan

    2016-09-02−94,682.455→ 0 total
    Exercise: $0.00→ Common Stock (94,682.455 underlying)
  • Disposition to Issuer

    Employee Stock Option (Right to Buy)

    2016-09-02−153,061→ 0 total
    Exercise: $48.37From: 2015-11-19Exp: 2023-11-19→ Common Stock (153,061 underlying)
  • Exercise/Conversion

    Common Stock

    2016-09-02+45,304.543→ 492,472.129 total
  • Disposition to Issuer

    Common Stock

    2016-09-02$48.90/sh−36,932.248$1,805,987→ 374,447.693 total
  • Disposition to Issuer

    Common Stock

    2016-09-02$48.90/sh−13,295.433$650,147→ 315,847.717 total
  • Disposition to Issuer

    Employee Stock Option (Right to Buy)

    2016-09-02−169,924→ 0 total
    Exercise: $50.23From: 2016-11-18Exp: 2024-11-18→ Common Stock (169,924 underlying)
  • Disposition to Issuer

    Employee Stock Option (Right to Buy)

    2016-09-02−65,100→ 0 total
    Exercise: $30.73From: 2015-01-23Exp: 2023-01-23→ Common Stock (65,100 underlying)
Footnotes (14)
  • [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").
  • [F10]Includes 1,308.111 units acquired via dividend reinvestment on April 2, July 2, October 2, 2013, January 6, April 2, July 2, October 2, 2014, January 5, April 2, July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $50.92 per unit.
  • [F11]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.
  • [F12]Includes 4,249.779 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.
  • [F13]Fifty percent of the options vest after two years and the remaining 50% vests after three years.
  • [F14]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.
  • [F2]Includes 6,448.572 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.
  • [F3]The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of 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 accrued under the Johnson Controls Annual Incentive Plan and settled 100% in cash.
  • [F6]Includes 2,486.981 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.
  • [F7]The phantom stock units accrued under the Johnson Controls Long-Term Incentive Plan and were settled 100% in cash.
  • [F8]Includes 1,243.161 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.
  • [F9]The phantom stock units accrue under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's retirement or termination of employment with the company.

Documents

1 file

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, 11:04 AM ET
Size
50.1 KB
View on SEC.gov