0001127602-16-061994.txt : 20160906
0001127602-16-061994.hdr.sgml : 20160906
20160906202524
ACCESSION NUMBER: 0001127602-16-061994
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160902
FILED AS OF DATE: 20160906
DATE AS OF CHANGE: 20160906
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: JOHNSON CONTROLS INC
CENTRAL INDEX KEY: 0000053669
STANDARD INDUSTRIAL CLASSIFICATION: PUBLIC BUILDING AND RELATED FURNITURE [2531]
IRS NUMBER: 390380010
STATE OF INCORPORATION: WI
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 5757 N GREEN BAY AVENUE
STREET 2: P O BOX 591
CITY: MILWAUKEE
STATE: WI
ZIP: 53201
BUSINESS PHONE: 4145241200
MAIL ADDRESS:
STREET 1: 5757 N GREEN BAY AVENUE
STREET 2: P O BOX 591
CITY: MILWAUKEE
STATE: WI
ZIP: 53201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: McDonald R Bruce
CENTRAL INDEX KEY: 0001207696
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05097
FILM NUMBER: 161872026
MAIL ADDRESS:
STREET 1: JOHNSON CONTROLS INC
STREET 2: 5757 N GREEN BAY AVENUE
CITY: MILWAUKEE
STATE: WI
ZIP: 53209
FORMER NAME:
FORMER CONFORMED NAME: MCDONALD R BRUCE
DATE OF NAME CHANGE: 20021126
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2016-09-02
1
0000053669
JOHNSON CONTROLS INC
JCI
0001207696
McDonald R Bruce
5757 N. GREEN BAY AVENUE
P.O. BOX 591
MILWAUKEE
WI
53201-0591
1
Exec VP & Vice Chairman
Common Stock
2016-09-02
4
M
0
13677.346
0
A
13677.346
D
Common Stock
2016-09-02
4
D
0
13677.346
48.90
D
0
D
Common Stock
2016-09-02
4
D
0
17964.324
D
0
I
By 401(k) Plan Trustee
Employee Stock Option (Right to Buy)
40.21
2016-09-02
4
D
0
47248
D
2009-10-01
2017-10-01
Common Stock
47248
0
D
Employee Stock Option (Right to Buy)
28.79
2016-09-02
4
D
0
160000
D
2010-10-01
2018-10-01
Common Stock
160000
0
D
Employee Stock Option (Right to Buy)
24.87
2016-09-02
4
D
0
170000
D
2011-10-01
2019-10-01
Common Stock
170000
0
D
Employee Stock Option (Right to Buy)
30.54
2016-09-02
4
D
0
150000
D
2012-10-01
2020-10-01
Common Stock
150000
0
D
Employee Stock Option (Right to Buy)
28.54
2016-09-02
4
D
0
140000
D
2013-10-07
2021-10-07
Common Stock
140000
0
D
Employee Stock Option (Right to Buy)
27.85
2016-09-02
4
D
0
74800
D
2014-10-05
2022-10-05
Common Stock
74800
0
D
Employee Stock Option (Right to Buy)
48.37
2016-09-02
4
D
0
49319
D
2015-11-19
2023-11-19
Common Stock
49319
0
D
Employee Stock Option (Right to Buy)
50.23
2016-09-02
4
D
0
80437
D
2016-11-18
2024-11-18
Common Stock
80437
0
D
Employee Stock Option (Right to Buy)
43.86
2016-09-02
4
D
0
104562
D
2017-10-07
2025-10-07
Common Stock
104562
0
D
Phantom Stock Units - Restricted Stock Plan
0
2016-09-02
4
M
0
13677.346
0
D
Common Stock
13677.346
235430.791
D
Phantom Stock Units - Restricted Stock Plan
0
2016-09-02
4
D
0
235430.791
0
D
Common Stock
235430.791
0
D
Each share of Johnson Controls, Inc. ("Johnson Controls") was converted into 0.8357 ordinary shares of Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") and $5.7293 in cash in connection with the closing of the merger between Johnson Controls and JCI plc (the "merger").
The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger.
Fifty percent of the options vest after two years and the remaining 50% vests after three years.
Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
The phantom stock units accrue under the Johnson Controls Restricted Stock Plan and settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements.
/s/ Catherine M. Walker, attorney-in-fact for R. Bruce McDonald
2016-09-06