Filing Details
- Accession Number:
- 0001049477-13-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-24 12:36:30
- Reporting Period:
- 2013-01-22
- Filing Date:
- 2013-01-24
- Accepted Time:
- 2013-01-24 12:36:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 53669 | Johnson Controls Inc | JCI | Public Bldg & Related Furniture (2531) | 390380010 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1049477 | A Frank Voltolina | 5757 N. Green Bay Avenue P.o. Box 591 Milwaukee WI 53201-0591 | Vice President And Treasurer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-01-22 | 3,000 | $20.56 | 52,182 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-01-22 | 3,000 | $31.01 | 49,183 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-01-23 | 21,000 | $20.56 | 70,183 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-01-23 | 21,000 | $30.65 | 49,183 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-01-22 | 3,000 | $0.00 | 3,000 | $20.56 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-01-23 | 21,000 | $0.00 | 21,000 | $20.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 21,000 | 2006-11-17 | 2014-11-17 | No | 4 | M | Direct |
| 0 | 2006-11-17 | 2004-11-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,757 | Indirect | By 401(k) Plan Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Units - Restricted Stock Grants | $0.00 | 35,817 | 35,817 | Direct | ||
| Common Stock | Phantom Stock Units - Long-Term Incentive Plan | $0.00 | 5,539 | 5,539 | Direct | ||
| Common Stock | Phantom Stock Units - Retirement Restoration Plan | $0.00 | 12,549 | 12,549 | Direct | ||
| Common Stock | Employee Stock Option (Right to Buy) | $22.56 | 2007-11-16 | 2015-11-16 | 60,000 | 60,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $23.97 | 2008-10-02 | 2016-10-02 | 48,000 | 48,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $40.21 | 2009-10-01 | 2017-10-01 | 36,000 | 36,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $28.79 | 2010-10-01 | 2018-10-01 | 48,000 | 48,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $24.87 | 2011-10-01 | 2019-10-01 | 48,000 | 48,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $30.54 | 2012-10-01 | 2020-10-01 | 35,000 | 35,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $28.54 | 2013-10-07 | 2021-10-07 | 32,500 | 32,500 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $27.85 | 2014-10-05 | 2022-10-05 | 18,600 | 18,600 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 35,817 | 35,817 | Direct | |
| 5,539 | 5,539 | Direct | |
| 12,549 | 12,549 | Direct | |
| 2015-11-16 | 60,000 | 60,000 | Direct |
| 2016-10-02 | 48,000 | 48,000 | Direct |
| 2017-10-01 | 36,000 | 36,000 | Direct |
| 2018-10-01 | 48,000 | 48,000 | Direct |
| 2019-10-01 | 48,000 | 48,000 | Direct |
| 2020-10-01 | 35,000 | 35,000 | Direct |
| 2021-10-07 | 32,500 | 32,500 | Direct |
| 2022-10-05 | 18,600 | 18,600 | Direct |
Footnotes
- The number of underlying securities is based on the stock fund balance on January 3, 2013. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consisting of 96% company stock and 4% money market fund. The stock account balance reflected in this report is based on a January 3, 2013, stock fund price of $31.80 per share.
- Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock and dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
- Includes 263.789 phantom stock units acquired on December 28, 2012 via dividend reinvestment at $30.11 per phantom stock unit.
- The phantom stock units were accrued under the Johnson Controls Long Term Incentive Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
- Includes 34.735 phantom stock units acquired on December 28, 2012 via dividend reinvestment at $30.11 per phantom stock unit.
- The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
- Includes 78.687 phantom stock units acquired on December 28, 2012 via dividend reinvestment at $30.11 per phantom stock unit.
- Fifty percent of the options vest after two years and the remaining 50% vests after three years.
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