Filing Details
- Accession Number:
- 0001205040-13-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-24 13:35:11
- Reporting Period:
- 2013-01-22
- Filing Date:
- 2013-01-24
- Accepted Time:
- 2013-01-24 13:35:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1205040 | D Jerome Okarma | 5757 N. Green Bay Avenue P.o. Box 591 Milwaukee WI 53201-0591 | Vp, Secretary & Gen. Counsel | 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 | Disposition | 2013-01-22 | 38,500 | $31.03 | 17,606 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-01-22 | 30,000 | $20.56 | 47,606 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-01-22 | 30,000 | $31.04 | 17,606 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-24 | 11,500 | $31.00 | 6,106 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 30,000 | $0.00 | 30,000 | $20.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-11-17 | 2014-11-17 | No | 4 | M | Direct |
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 | 46,242 | 46,242 | Direct | ||
| Common Stock | Employee Stock Option (Right to Buy) | $22.56 | 2007-11-16 | 2015-11-16 | 150,000 | 150,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $23.97 | 2008-10-02 | 2016-10-02 | 120,000 | 120,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $40.21 | 2009-10-01 | 2017-10-01 | 75,000 | 75,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $28.79 | 2010-10-01 | 2018-10-01 | 110,000 | 110,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $24.87 | 2011-10-01 | 2019-10-01 | 110,000 | 110,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $30.54 | 2012-10-01 | 2020-10-01 | 87,000 | 87,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $28.54 | 2013-10-07 | 2021-10-07 | 78,000 | 78,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $27.85 | 2014-10-05 | 2022-10-05 | 44,700 | 44,700 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 46,242 | 46,242 | Direct | |
| 2015-11-16 | 150,000 | 150,000 | Direct |
| 2016-10-02 | 120,000 | 120,000 | Direct |
| 2017-10-01 | 75,000 | 75,000 | Direct |
| 2018-10-01 | 110,000 | 110,000 | Direct |
| 2019-10-01 | 110,000 | 110,000 | Direct |
| 2020-10-01 | 87,000 | 87,000 | Direct |
| 2021-10-07 | 78,000 | 78,000 | Direct |
| 2022-10-05 | 44,700 | 44,700 | Direct |
Footnotes
- The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions in prices ranging from $31.00 to $31.18, inclusive. The reporting person undertakes to provide to Johnson Controls,any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote(1) of this Form 4.
- The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions in prices ranging from $31.00 to $31.12, inclusive. The reporting person undertakes to provide to Johnson Controls,any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote(2) of this Form 4.
- The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions in prices ranging from $31.00 to $31.02, inclusive. The reporting person undertakes to provide to Johnson Controls,any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote(3) of this Form 4.
- 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.
- Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- Includes 289.966 phantom stock units acquired through the reinvestment of dividends on December 28, 2012 at $30.11 per phantom stock unit.
- Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
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