Filing Details
- Accession Number:
- 0001205035-11-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-02 14:39:39
- Reporting Period:
- 2011-07-29
- Filing Date:
- 2011-08-02
- Accepted Time:
- 2011-08-02 14:39:39
- 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 |
|---|---|---|---|---|---|---|---|
| 1205035 | F Susan Davis | 5757 N. Green Bay Avenue P.o. Box 591 Milwaukee WI 53201-0591 | Executive Vice President | 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 | 2011-07-29 | 1 | $38.80 | 171,866 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 3,315 | $37.51 | 168,551 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2011-08-01 | 706 | $37.51 | 169,257 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-08-01 | 706 | $37.51 | 168,551 | No | 4 | D | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Units/Restricted Stock | Disposition | 2011-08-01 | 706 | $37.51 | 706 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 48,976 | 2012-11-01 | 2014-11-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,208 | Indirect | By 401(k) Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Units/Retirement Restoration Plan | $0.00 | 985 | 985 | Direct | ||
| Common Stock | Employee Stock Option (Right to Buy) | $20.56 | 2006-11-17 | 2014-11-17 | 138,000 | 138,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $22.56 | 2007-11-16 | 2015-11-16 | 123,000 | 123,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $23.97 | 2008-10-02 | 2016-10-02 | 120,000 | 120,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $40.21 | 2009-10-01 | 2017-10-01 | 75,000 | 75,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $28.79 | 2010-10-01 | 2018-10-01 | 110,000 | 110,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $24.87 | 2011-10-01 | 2019-10-01 | 110,000 | 110,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $30.54 | 2012-10-01 | 2020-10-01 | 84,000 | 84,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 985 | 985 | Direct | |
| 2014-11-17 | 138,000 | 138,000 | Direct |
| 2015-11-16 | 123,000 | 123,000 | Direct |
| 2016-10-02 | 120,000 | 120,000 | Direct |
| 2017-10-01 | 75,000 | 75,000 | Direct |
| 2018-10-01 | 110,000 | 110,000 | Direct |
| 2019-10-01 | 110,000 | 110,000 | Direct |
| 2020-10-01 | 84,000 | 84,000 | Direct |
Footnotes
- Includes 7,500 shares of restricted stock that vest on August 1, 2011.
- Includes 2.252 shares of stock acquired through the reinvestment of dividends on July 5, 2011 at $42.3054 per share.
- The number of underlying securities is based on the stock fund balance on July 29, 2011. 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 July 29, 2011, stock fund price of $36.95 per share.
- Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- Phantom stock units representing dividends which relate to vested deferred awards are payable in cash following the reporting person's retirement from the issuer and may be transferred into an alternative investment account. Vesting continues when the reporting person retires from the issuer.
- Includes 215.731 phantom stock units acquired through the reinvestment of dividends on July 5, 2011 at $42.25 per phantom stock unit.
- The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
- Includes 3.715 phantom stock units acquired through the reinvestment of dividends on July 5, 2011 at $42.25 per phantom stock unit.
- Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
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