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: 153 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-10-07: Reporting owner Harvey Charles A; Form 4; Security Phantom Stock Units - Restricted Stock Grants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-10-07: Reporting owner DAVIS SUSAN F; Form 4; Security Phantom Stock Units/Restricted Stock Grant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-10-07: Reporting owner Bolzenius Beda; Form 4; Security Phantom Stock Units/Restricted Stock Grant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-10-05: Reporting owner CORNOG ROBERT A; Form 4; Security Phantom Stock Units / Directors Retirement Stock Plan; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-10-07 | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Grants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,600 16,993 owned after | $0.00 | 2011-10-11 | |
| 2011-10-07 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,000 62,260 owned after | $0.00 | 2011-10-11 | |
| 2011-10-07 | Bolzenius Beda Officer (Vice President) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,500 24,958 owned after | $0.00 | 2011-10-11 | |
| 2011-10-05 holding as of filing | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors Retirement Stock Plan Derivative · Direct | Holding | 34,188 owned after | no price filed | 2011-10-05 | |
| 2011-10-05 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 2,348 owned after | no price filed | 2011-10-05 | |
| 2011-10-03 | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,326 126,549 owned after | $25.45 | 2011-10-05 | |
| 2011-10-03 | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,081 38,683 owned after | $25.45 | 2011-10-05 | |
| 2011-09-12 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - Retirement Restoration Plan Derivative · Direct | Holding | 14,448 owned after | no price filed | 2011-09-12 | |
| 2011-09-12 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 22,464 owned after | no price filed | 2011-09-12 | |
| 2011-09-12 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - Long-Term Incentive Plan Derivative · Direct | Holding | 8,884 owned after | no price filed | 2011-09-12 | |
| 2011-09-12 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 36,987 owned after | no price filed | 2011-09-12 | |
| 2011-08-08 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Restricted Stock Derivative · Direct | Holding | 48,976 owned after | no price filed | 2011-08-08 | |
| 2011-08-08 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 985 owned after | no price filed | 2011-08-08 | |
| 2011-08-02 holding as of filing | ROELL STEPHEN A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 56,346 owned after | no price filed | 2011-08-02 | |
| 2011-08-02 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 985 owned after | no price filed | 2011-08-02 | |
| 2011-08-01 | ROELL STEPHEN A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units/Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −706 319,033 owned after | $37.51 | 2011-08-02 | |
| 2011-08-01 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −706 48,976 owned after | $37.51 | 2011-08-02 | |
| 2011-08-01 | Bolzenius Beda Officer (Vice President) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −706 2,089 owned after | $37.51 | 2011-08-02 | |
| 2011-07-06 holding as of filing | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors Retirement Stock Plan Derivative · Direct | Holding | 33,991 owned after | no price filed | 2011-07-06 | |
| 2011-07-06 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 2,334 owned after | no price filed | 2011-07-06 | |
| 2011-07-01 | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +796 124,500 owned after | $42.40 | 2011-07-06 | |
| 2011-07-01 | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +649 37,386 owned after | $42.40 | 2011-07-06 | |
| 2011-05-10 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 981 owned after | no price filed | 2011-05-10 | |
| 2011-05-10 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Restricted Stock Derivative · Direct | Holding | 49,466 owned after | no price filed | 2011-05-10 | |
| 2011-04-29 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 2,955 owned after | no price filed | 2011-04-29 | |
| 2011-04-29 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Long-Term Incentive Plan Derivative · Direct | Holding | 89,627 owned after | no price filed | 2011-04-29 | |
| 2011-04-29 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 37,218 owned after | no price filed | 2011-04-29 | |
| 2011-04-29 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 137,877 owned after | no price filed | 2011-04-29 | |
| 2011-04-05 holding as of filing | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors Retirement Stock Plan Derivative · Direct | Holding | 33,863 owned after | no price filed | 2011-04-05 | |
| 2011-04-05 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 2,325 owned after | no price filed | 2011-04-05 | |
| 2011-04-01 | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +802 123,238 owned after | $42.08 | 2011-04-05 | |
| 2011-03-09 holding as of filing | OKARMA JEROME D Officer (VP, Secretary & Gen. Counsel) | 4 | Phantom Stock Units/Restricted Stock Derivative · Direct | Holding | 34,839 owned after | no price filed | 2011-03-09 | |
| 2011-03-09 holding as of filing | OKARMA JEROME D Officer (VP, Secretary & Gen. Counsel) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 8,354 owned after | no price filed | 2011-03-09 | |
| 2011-02-08 holding as of filing | BARNETT ROBERT L Director | 4/A | Phantom Stock Units / Directors' Retirement Plan Derivative · Direct | Holding | 37,456 owned after | no price filed | 2011-02-08 | |
| 2011-01-28 holding as of filing | MORCOTT SOUTHWOOD J Director | 4 | Phantom Stock Units/Directors' Deferred Comp Plan Derivative · Direct | Holding | 17,666 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/Director's Deferred Comp Plan Derivative · Direct | Holding | 61,252 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 10,847 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | LACY WILLIAM H Director | 4 | Phantom Stock Units / Directors' Retirement Stock Plan Derivative · Direct | Holding | 22,567 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors Retirement Stock Plan Derivative · Direct | Holding | 33,734 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 2,316 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | BLACK NATALIE A Director | 4 | Phantom Stock Units/Directors' Deferred Comp Plan Derivative · Direct | Holding | 41,415 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | BLACK NATALIE A Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 21,079 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | BARNETT ROBERT L Director | 4 | Phantom Stock Units / Directors' Retirement Plan Derivative · Direct | Holding | 37,456 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | ARCHER DENNIS W Director | 4 | Phantom Stock Units/Directors' Retirement Stock Account Derivative · Direct | Holding | 10,557 owned after | no price filed | 2011-01-28 | |
| 2011-01-28 holding as of filing | ABNEY DAVID P Director | 4 | Phantom Stock Units/Directors' Share Unit Plan Derivative · Direct | Holding | 3,161 owned after | no price filed | 2011-01-28 | |
| 2011-01-26 | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +654 36,598 owned after | $42.08 | 2011-04-05 | |
| 2011-01-26 | BARNETT ROBERT L Director | 4/A | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39 207,100 owned after | $38.84 | 2011-02-08 | |
| 2011-01-26 | LACY WILLIAM H Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,832 62,062 owned after | $38.84 | 2011-01-28 | |
| 2011-01-26 | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,701 121,968 owned after | $38.84 | 2011-01-28 | |
| 2011-01-26 | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,540 35,808 owned after | $38.84 | 2011-01-28 | |
| 2011-01-26 | 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) | +2,832 14,093 owned after | $38.84 | 2011-01-28 | |
| 2011-01-26 | BARNETT ROBERT L Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39 204,268 owned after | $38.84 | 2011-01-28 | |
| 2011-01-26 | ARCHER DENNIS W Director | 4 | Phantom Stock Units/Directors' Deferred Comp Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,832 32,984 owned after | $38.84 | 2011-01-28 |