JOHNSON CONTROLS INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 62 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-09-02: Reporting owner Williams Jeffrey M; Form 4; Security Phantom Stock Units - Restricted Stock Plan; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-09-02: Reporting owner Williams Jeffrey M; Form 4; Security Phantom Stock Units - Restricted Stock Plan; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-09-02: Reporting owner Walicki Joseph A; Form 4; Security Phantom Stock Units - Restricted Stock Plan; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-09-02: Reporting owner Jackson William C; Form 4; Security Phantom Stock Units - Restricted Stock Plan; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-09-02 | Williams Jeffrey M Officer (VP, Enterprise Ops & Enginrg) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −297 3,233 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Williams Jeffrey M Officer (VP, Enterprise Ops & Enginrg) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,233 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Walicki Joseph A Officer (VP & Pres., Power Solutions) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −137 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Jackson William C Officer (VP & President, BE) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −848 30,137 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Jackson William C Officer (VP & President, BE) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,812 13,325 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Jackson William C Officer (VP & President, BE) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,325 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Davis Simon Officer (VP, Chief Human Resources Ofcr) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −137 15,384 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Davis Simon Officer (VP, Chief Human Resources Ofcr) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,384 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −94,388 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,932 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Retirement Restoration Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,288 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,305 107,978 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,295 94,682 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −94,682 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units - Retirement Restoration Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,110 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −92,404 22,419 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,097 14,322 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,322 0 owned after | $0.00 | 2016-09-07 | |
| 2016-09-02 | VERGNANO MARK P Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,213 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | del Valle Perochena Juan Pablo Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,671 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | JOERRES JEFFREY A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −94,182 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,321 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | Goodman Richard Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,759 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | Conner Raymond L. Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,292 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | BLACK NATALIE A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −62,256 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | BLACK NATALIE A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,944 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | ABNEY DAVID P Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,810 0 owned after | no price filed | 2016-09-06 | |
| 2016-09-02 | McDonald R Bruce Officer (Exec VP & Vice Chairman) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,677 235,431 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | McDonald R Bruce Officer (Exec VP & Vice Chairman) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −235,431 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Nevill Trent M Officer (VP, President, Asia Pacific) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,922 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Metcalf-Kupres Kimberley Officer (VP and Chief Marketing Officer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,814 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Cadwallader Brian J Officer (VP, Secretary & Gen. Counsel) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −128 52,529 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Cadwallader Brian J Officer (VP, Secretary & Gen. Counsel) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −103 52,425 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Cadwallader Brian J Officer (VP, Secretary & Gen. Counsel) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,010 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Cadwallader Brian J Officer (VP, Secretary & Gen. Counsel) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,425 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Bartschat Michael K Officer (VP & Chief Procurement Officer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −226 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Stief Brian J Officer (EVP & Chief Financial Officer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,939 173,509 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Stief Brian J Officer (EVP & Chief Financial Officer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −102,094 71,416 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | Stief Brian J Officer (EVP & Chief Financial Officer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −71,416 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,023 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Retirement Restoration Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,644 0 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,392 60,602 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,155 25,447 owned after | $0.00 | 2016-09-06 | |
| 2016-09-02 | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,447 0 owned after | $0.00 | 2016-09-06 | |
| 2016-08-19 | McDonald R Bruce Officer (Exec VP & Vice Chairman) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −78,990 0 owned after | $45.03 | 2016-08-23 | |
| 2016-08-19 | McDonald R Bruce Officer (Exec VP & Vice Chairman) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −72,044 249,108 owned after | $45.03 | 2016-08-23 | |
| 2016-07-08 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 12,243 owned after | no price filed | 2016-07-08 | |
| 2016-07-07 | JOERRES JEFFREY A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +935 93,580 owned after | $42.77 | 2016-07-08 | |
| 2016-04-22 | McDonald R Bruce Officer (Exec VP & Vice Chairman) | 4 | Phantom Stock Units - Retirement Restoration Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −45,929 0 owned after | $41.93 | 2016-04-26 | |
| 2016-04-22 | McDonald R Bruce Officer (Exec VP & Vice Chairman) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −150,000 316,949 owned after | $41.93 | 2016-04-26 | |
| 2016-04-07 holding as of filing | Nevill Trent M Officer (VP, President, Asia Pacific) | 3 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | no price filed | 2016-04-07 | ||
| 2016-04-04 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 12,070 owned after | no price filed | 2016-04-04 | |
| 2016-04-01 | JOERRES JEFFREY A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,022 91,345 owned after | $39.15 | 2016-04-04 | |
| 2016-01-29 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 12,070 owned after | no price filed | 2016-01-29 | |
| 2016-01-29 holding as of filing | BLACK NATALIE A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 23,455 owned after | no price filed | 2016-01-29 | |
| 2016-01-27 | VERGNANO MARK P Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,127 4,127 owned after | $35.13 | 2016-01-29 | |
| 2016-01-27 | JOERRES JEFFREY A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,127 89,184 owned after | $35.13 | 2016-01-29 | |
| 2016-01-27 | JOERRES JEFFREY A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,139 90,323 owned after | $35.13 | 2016-01-29 | |
| 2016-01-27 | Goodman Richard Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,127 35,029 owned after | $35.13 | 2016-01-29 | |
| 2016-01-27 | del Valle Perochena Juan Pablo Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,596 3,596 owned after | $35.13 | 2016-01-29 | |
| 2016-01-27 | BLACK NATALIE A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,127 60,985 owned after | $35.13 | 2016-01-29 | |
| 2016-01-27 | ABNEY DAVID P Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,127 30,181 owned after | $35.13 | 2016-01-29 |