Filing Details
- Accession Number:
- 0001012282-11-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-09 16:08:06
- Reporting Period:
- 2011-11-08
- Filing Date:
- 2011-11-09
- Accepted Time:
- 2011-11-09 16:08:06
- 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 |
|---|---|---|---|---|---|---|---|
| 1012282 | A Stephen Roell | 5757 N. Green Bay Avenue P.o. Box 591 Milwaukee WI 53201-0591 | Chief Executive Officer | Yes | 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 | 2011-11-08 | 45,048 | $32.51 | 679,882 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 34,619 | Indirect | By 401(k) Plan Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Units/Restricted Stock | $0.00 | 334,641 | 334,641 | Direct | ||
| Common Stock | Phantom Stock Units/Retirement Restoration Plan | $0.00 | 56,673 | 56,673 | Direct | ||
| Common Stock | Employee Stock Option (Right to Buy) | $22.56 | 2007-11-16 | 2015-11-16 | 525,000 | 525,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $23.97 | 2008-10-02 | 2016-10-02 | 591,000 | 591,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $40.21 | 2009-10-01 | 2017-10-01 | 375,000 | 375,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $28.79 | 2010-10-01 | 2018-10-01 | 550,000 | 550,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $24.87 | 2011-10-01 | 2019-10-01 | 610,000 | 610,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $30.54 | 2012-10-01 | 2020-10-01 | 505,000 | 505,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $28.54 | 2013-10-07 | 2021-10-07 | 467,000 | 467,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 334,641 | 334,641 | Direct | |
| 56,673 | 56,673 | Direct | |
| 2015-11-16 | 525,000 | 525,000 | Direct |
| 2016-10-02 | 591,000 | 591,000 | Direct |
| 2017-10-01 | 375,000 | 375,000 | Direct |
| 2018-10-01 | 550,000 | 550,000 | Direct |
| 2019-10-01 | 610,000 | 610,000 | Direct |
| 2020-10-01 | 505,000 | 505,000 | Direct |
| 2021-10-07 | 467,000 | 467,000 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.42 to $32.61, inclusive. The reporting person undertakes to provide to the issuer, any shareholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- The number of underlying securities is based on the stock fund balance on October 31, 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 October 31, 2011, stock fund price of $32.93 per share.
- Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- The balance includes phantom stock units representing (a) vested, deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon retirement and may be transferred into an alternative investment account, (b) dividends which relate to an unvested, non-deferred restricted stock award, which will be settled 100% in cash upon vesting, and (c) unvested, non-deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon vesting of the award.
- The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan. The units are payable in cash following the reporting person's retirement from the issuer, and may be transferred by the reporting person into an alternative investment account.
- Fifty percent of the options vest after two years and the remaining 50% vests after three years.
Billionaire Hedge Funds
