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
- 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.
- 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.
- 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.
- Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.