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