Filing Details
- Accession Number:
- 0001127602-14-029543
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-07 13:29:30
- Reporting Period:
- 2014-06-17
- Filing Date:
- 2014-10-07
- Accepted Time:
- 2014-10-07 13:29:30
- 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 |
---|---|---|---|---|---|---|---|
1609398 | Simon Davis | 5757 N. Green Bay Ave. Milwaukee WI 53209 | Vice President & Achro | 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 | 2014-06-17 | 214 | $49.84 | 81 | No | 4 | S | Indirect | By 401(k) Plan Trust |
Common Stock | Acquisiton | 2014-10-06 | 59 | $44.82 | 14,416 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-10-06 | 59 | $44.82 | 14,358 | No | 4 | D | Direct | |
Common Stock | Disposition | 2014-10-06 | 495 | $44.82 | 13,863 | No | 4 | F | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By 401(k) Plan Trust |
No | 4 | M | Direct | |
No | 4 | D | Direct | |
No | 4 | F | 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 | Disposition | 2014-10-06 | 59 | $0.00 | 59 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
144 | No | 4 | M | Direct |
Footnotes
- The number of underlying securities is based on the stock fund balance on September 25, 2014. 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 September 25, 2014 stock fund price of $44.65 per share.
- The balance includes 28.988 shares acquired via dividend reinvestment on July 2 and October 2, 2014, at prices ranging from $44.68 to $50.92.
- Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- The phantom stock units are being accrued under the Johnson Controls Restricted Stock Plan and settle 100% in cash, subject to the vesting of the underlying restricted stock award.
- The balance includes 40.425 phantom stock units acquired via dividend reinvestment on July 2, and October 2, 2014, at prices ranging from $44.68 to $50.92.