Filing Details
- Accession Number:
- 0001127602-15-010022
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-04 15:54:47
- Reporting Period:
- 2015-03-02
- Filing Date:
- 2015-03-04
- Accepted Time:
- 2015-03-04 15:54:47
- 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 Vp & Vice Chairman | 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 | 2014-11-20 | 2,100 | $0.00 | 108,741 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2015-03-02 | 3,198 | $51.90 | 111,939 | No | 4 | I | Direct | |
| Common Stock | Acquisiton | 2015-03-02 | 50,000 | $51.90 | 161,939 | No | 4 | I | Direct | |
| Common Stock | Acquisiton | 2015-03-02 | 50,000 | $51.90 | 211,939 | No | 4 | I | Direct | |
| Common Stock | Disposition | 2015-03-02 | 103,198 | $51.90 | 108,741 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 4 | I | Direct | |
| No | 4 | I | Direct | |
| No | 4 | I | 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 - Annual Incentive Plan | Disposition | 2015-03-02 | 3,198 | $51.90 | 3,198 | $0.00 |
| Common Stock | Phantom Stock Units - Long Term Incentive Plan | Disposition | 2015-03-02 | 50,000 | $51.90 | 50,000 | $0.00 |
| Common Stock | Phantom Stock Units - Restricted Stock Plan | Disposition | 2015-03-02 | 50,000 | $51.90 | 50,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | I | Direct | ||
| 75,540 | No | 4 | I | Direct | ||
| 244,302 | No | 4 | I | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 17,182 | Indirect | By 401(k) Plan Trustee |
Footnotes
- The number of underlying securities is based on the stock fund balance on March 3, 2015. 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 an March 3, 2015, stock fund price of $51.45 per unit.
- Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- The phantom stock units were accrued under the Johnson Controls Annual Incentive Plan and are to be settled 100% in cash upon the reporting person's retirement.
- The phantom stock units were accrued under the Johnson Controls Long-Term Incentive Plan and are to be settled 100% in cash upon the reporting person's retirement.
- Includes 2,893.878 phantom stock units acquired via dividend reinvestment on January 4, April 2, July 2 and October 2, 2014 and January 5, 2015 at prices ranging from $44.68 to $50.92 per phantom stock unit.
- The phantom stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
- Includes 1,643.083 phantom stock units acquired via dividend reinvestment on January 5, 2015 at $46.61 per phantom stock unit.
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