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