0001127602-16-060960.txt : 20160823
0001127602-16-060960.hdr.sgml : 20160823
20160823172749
ACCESSION NUMBER: 0001127602-16-060960
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160819
FILED AS OF DATE: 20160823
DATE AS OF CHANGE: 20160823
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: 161847870
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
2016-08-19
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
2016-04-27
5
G
0
E
3000
0
D
100766
D
Common Stock
2016-07-26
5
G
0
E
2600
0
D
98166
D
Common Stock
2016-08-23
4
S
0
98166
44.95
D
0
D
Common Stock
2016-08-19
4
I
0
117.61
45.03
D
17945.905
I
By 401(k) Plan Trustee
Phantom Stock Units - Long Term Incentive Plan
2016-08-19
4
I
0
78989.637
45.03
D
Common Stock
78989.637
0
D
Phantom Stock Units - Restricted Stock Plan
0
2016-08-19
4
I
0
72044.069
45.03
D
Common Stock
72044.069
249108.137
D
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $44.83 to $45.12, inclusive. The reporting person undertakes to provide to the issuer, any security
holder 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 range set forth in footnote 1 of this Form 4.
The number of underlying securities is based on the stock fund balance on August 19, 2016. 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 August 19, 2016 stock fund price of $45.03 per share.
Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
The phantom stock units were accrued under the Johnson Controls Long-Term Incentive Plan and are to be settled 100% in cash upon the reporting person's retirement.
Includes 3,449.712 units acquired via dividend reinvestment on April 2, July 2 and October 2, 2015; January 5, April 4, July 5 and August 19, 2016, at prices ranging from $32.20 to 50.16 per unit.
The phantom stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
Includes 942.878 units acquired via dividend reinvestment on July 5 and August 19, 2016 at $42.79 and $45.03 per unit, respectively.
Includes 3,260.21 units acquired via dividend reinvestment on July 5 and August 19, 2016 at $42.79 and $45.03 per unit, respectively.
/s/ Catherine M. Walker, Attorney-In-Fact for R. Bruce McDonald
2016-08-23