Filing Details
- Accession Number:
- 0001127602-13-016523
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-13 11:50:19
- Reporting Period:
- 2013-05-10
- Filing Date:
- 2013-05-13
- Accepted Time:
- 2013-05-13 11:50:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1012282 | A Stephen Roell | 5757 N. Green Bay Avenue P.o. Box 591 Milwaukee WI 53201-0591 | Chairman & Ceo | Yes | 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 | 2012-11-27 | 5,565 | $0.00 | 666,267 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2013-05-10 | 525,000 | $22.56 | 1,191,267 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-05-10 | 525,000 | $36.35 | 666,267 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | 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 | 2013-05-10 | 525,000 | $0.00 | 525,000 | $22.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2007-11-16 | 2015-11-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 36,556 | Indirect | By 401(k) Plan Trust |
Footnotes
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $36.15 to $36.54, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 number of underlying securities is based on the stock fund balance on May 10, 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 May 10, 2013, stock fund price of $36.47 per share, and includes a company match of 353.44.phantom stock units acquired on February 14, 2013 at $31.83.
Billionaire Hedge Funds
