Filing Details

Accession Number:
0001127602-13-032490
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-21 16:56:21
Reporting Period:
2013-11-19
Filing Date:
2013-11-21
Accepted Time:
2013-11-21 16:56:21
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
1207696 Bruce R Mcdonald 5757 N. Green Bay Avenue
P.o. Box 591
Milwaukee WI 53201-0591
Exec Vice President & Cfo 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 2013-11-21 150,000 $20.56 262,841 No 4 M Direct
Common Stock Disposition 2013-11-21 150,000 $0.00 112,841 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 Phantom Stock Units - Restricted Stock Plan Acquisiton 2013-11-19 14,988 $0.00 14,988 $0.00
Common Stock Employee Stock Option (Right to Buy) Acquisiton 2013-11-19 49,319 $0.00 49,319 $48.37
Common Stock Employee Stock Option (Right to Buy) Disposition 2013-11-21 150,000 $0.00 150,000 $20.56
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
263,764 No 4 A Direct
49,319 2015-11-19 2023-11-19 No 4 A Direct
0 2006-11-17 2014-11-17 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 16,843 Indirect By 401(k) Plan Trustee
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Employee Stock Option (Right to Buy) $22.56 2007-11-16 2015-11-16 225,000 225,000 Direct
Common Stock Employee Stock Option (Right to Buy) $23.97 2008-10-02 2016-10-02 192,000 192,000 Direct
Common Stock Employee Stock Option (Right to Buy) $40.21 2009-10-01 2017-10-01 120,000 120,000 Direct
Common Stock Employee Stock Option (Right to Buy) $28.79 2010-10-01 2018-10-01 160,000 160,000 Direct
Common Stock Employee Stock Option (Right to Buy) $24.87 2011-10-01 2019-10-01 170,000 170,000 Direct
Common Stock Employee Stock Option (Right to Buy) $30.54 2012-10-01 2020-10-01 150,000 150,000 Direct
Common Stock Employee Stock Option (Right to Buy) $28.54 2013-10-07 2021-10-07 140,000 140,000 Direct
Common Stock Employee Stock Option (Right to Buy) $27.85 2014-10-05 2022-10-05 74,800 74,800 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2015-11-16 225,000 225,000 Direct
2016-10-02 192,000 192,000 Direct
2017-10-01 120,000 120,000 Direct
2018-10-01 160,000 160,000 Direct
2019-10-01 170,000 170,000 Direct
2020-10-01 150,000 150,000 Direct
2021-10-07 140,000 140,000 Direct
2022-10-05 74,800 74,800 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.0 to $50.59, 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 6 of this Form 4.
  2. The number of underlying securities is based on the stock fund balance on November 15, 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 November 15, 2013, stock fund price of $49.45 per share.
  3. The phantom stock units are being accrued under the Johnson Controls Restricted Stock Plan and settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements.
  4. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.