0001127602-16-062047.txt : 20160907
0001127602-16-062047.hdr.sgml : 20160907
20160907124311
ACCESSION NUMBER: 0001127602-16-062047
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160902
FILED AS OF DATE: 20160907
DATE AS OF CHANGE: 20160907
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: Williams Jeffrey M
CENTRAL INDEX KEY: 0001629526
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05097
FILM NUMBER: 161872907
MAIL ADDRESS:
STREET 1: 5757 N GREEN BAY AVE
CITY: MILWAUKEE
STATE: WI
ZIP: 53209
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2016-09-02
1
0000053669
JOHNSON CONTROLS INC
JCI
0001629526
Williams Jeffrey M
5757 N GREEN BAY AVE
MILWAUKEE
WI
53209
1
VP, Enterprise Ops & Enginrg
Common Stock
2016-09-02
4
F
0
1542
45.45
D
98879.798
D
Common Stock
2016-09-02
4
F
0
12500
45.45
D
86379.798
D
Common Stock
2016-09-02
4
M
0
296.691
0
A
86676.489
D
Common Stock
2016-09-02
4
M
0
3232.743
0
A
89909.232
D
Common Stock
2016-09-02
4
D
0
3529.434
45.45
D
86379.798
D
Common Stock
2016-09-02
4
D
0
86379.798
D
0
D
Employee Stock Option (Right to Buy)
40.21
2016-09-02
4
D
0
36000
D
2009-10-01
2017-10-01
Common Stock
36000
0
D
Employee Stock Option (Right to Buy)
28.79
2016-09-02
4
D
0
24000
D
2010-10-01
2018-10-01
Common Stock
24000
0
D
Employee Stock Option (Right to Buy)
30.54
2016-09-02
4
D
0
35000
D
2012-10-01
2020-10-01
Common Stock
35000
0
D
Employee Stock Option (Right to Buy)
28.54
2016-09-02
4
D
0
28500
D
2013-10-07
2021-10-07
Common Stock
28500
0
D
Employee Stock Option (Right to Buy)
27.85
2016-09-02
4
D
0
36700
D
2014-10-05
2022-10-05
Common Stock
36700
0
D
Employee Stock Option (Right to Buy)
48.37
2016-09-02
4
D
0
17687
D
2015-11-19
2023-11-19
Common Stock
17687
0
D
Employee Stock Option (Right to Buy)
46.31
2016-09-02
4
D
0
5931
D
2017-01-05
2025-01-05
Common Stock
5931
0
D
Employee Stock Option (Right to Buy)
50.23
2016-09-02
4
D
0
19305
D
2016-11-18
2024-11-18
Common Stock
19305
0
D
Employee Stock Option (Right to Buy)
43.86
2016-09-02
4
D
0
30722
D
2017-10-07
2025-10-07
Common Stock
30722
0
D
Phantom Stock Units - Restricted Stock Plan
2016-09-02
4
M
0
296.691
0
D
Common Stock
296.691
3232.743
D
Phantom Stock Units - Restricted Stock Plan
2016-09-02
4
M
0
3232.743
0
D
Common Stock
3232.743
0
D
Includes 1,521.29 shares acquired via dividend reinvestment on October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per share.
The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") in connection with the closing of the merger between Johnson Controls, Inc. ("Johnson Controls") and JCI plc (the "merger").
Each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash in connection with the closing of 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 stock options vest after two years, and the remaining fifty percent vest 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.
Includes 1,069.65 units acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per unit.
/s/ Catherine M. Walker, attorney-in-fact for Mr. Williams
2016-09-07