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: 73 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-16: Reporting owner Murphy John P; Form 4; Security Phantom Stock Units - Long Term Incentive Plan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-16: Reporting owner Molinaroli Alex A; Form 4; Security Phantom Stock Units - Annual Incentive Plan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-16: Reporting owner Molinaroli Alex A; Form 4; Security Phantom Stock Units - Long Term Incentive Plan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-16: Reporting owner MCDONALD R BRUCE; Form 4; Security Phantom Stock Units - Long Term Incentive Plan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-16 | Murphy John P Other (VP & Pres., Glbl WorkPlace Sol) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +896 13,212 owned after | $50.95 | 2014-05-14 | |
| 2013-12-16 | Molinaroli Alex A Officer (CEO) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,433 50,630 owned after | $50.95 | 2013-12-17 | |
| 2013-12-16 | Molinaroli Alex A Officer (CEO) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,496 24,760 owned after | $50.95 | 2013-12-17 | |
| 2013-12-16 | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,392 122,646 owned after | $50.95 | 2013-12-17 | |
| 2013-12-16 | Boyd Colin Officer (Vice President) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,005 23,951 owned after | $50.95 | 2013-12-17 | |
| 2013-11-19 | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,700 39,897 owned after | $0.00 | 2013-11-21 | |
| 2013-11-19 | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,988 263,764 owned after | $0.00 | 2013-11-21 | |
| 2013-11-19 | Stief Brian J Officer (Vice Pres. & Corp. Controller) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,362 90,877 owned after | $0.00 | 2013-11-21 | |
| 2013-11-19 | Molinaroli Alex A Officer (CEO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,629 81,067 owned after | $0.00 | 2013-11-21 | |
| 2013-11-19 | Jackson William C Officer (EVP and VP AE, E&I) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,445 28,542 owned after | $0.00 | 2013-11-21 | |
| 2013-11-02 | 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 | −274 36,197 owned after | $0.00 | 2013-11-05 | |
| 2013-11-02 | MYERS C DAVID Officer (VP & Pres, Building Eff) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −947 1,839 owned after | $0.00 | 2013-11-05 | |
| 2013-11-02 | Murphy John P Other (VP & Pres., Glbl WorkPlace Sol) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −232 407 owned after | $0.00 | 2013-11-05 | |
| 2013-11-02 | Molinaroli Alex A Officer (Vice Chairman) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −947 69,438 owned after | $0.00 | 2013-11-05 | |
| 2013-11-02 | Kesseler Brian J 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 | −232 407 owned after | $0.00 | 2013-11-05 | |
| 2013-11-02 | Bolzenius Beda Officer (VP & President, AE - Seating) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −947 38,107 owned after | $0.00 | 2013-11-04 | |
| 2013-11-02 | ROELL STEPHEN A Director, 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 | −61,258 287,663 owned after | $0.00 | 2013-11-04 | |
| 2013-11-02 | OKARMA JEROME D 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 | −10,300 29,856 owned after | $0.00 | 2013-11-04 | |
| 2013-11-02 | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,524 11,104 owned after | $0.00 | 2013-11-04 | |
| 2013-11-02 | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,137 248,776 owned after | $0.00 | 2013-11-04 | |
| 2013-11-02 | 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 | −8,132 56,580 owned after | $0.00 | 2013-11-04 | |
| 2013-11-02 | Boyd Colin Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,524 478 owned after | $0.00 | 2013-11-04 | |
| 2013-10-07 | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,888 249,913 owned after | $40.74 | 2013-10-09 | |
| 2013-10-07 | Kesseler Brian J 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 | −105 638 owned after | $0.00 | 2013-10-09 | |
| 2013-10-07 | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,408 14,628 owned after | $0.00 | 2013-10-09 | |
| 2013-10-07 | OKARMA JEROME D 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) | −6,804 40,156 owned after | $40.74 | 2013-10-09 | |
| 2013-10-07 | ROELL STEPHEN A Director, 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 | −40,825 348,921 owned after | $0.00 | 2013-10-08 | |
| 2013-10-07 | Bolzenius Beda Officer (VP & President, AE - Seating) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,777 39,056 owned after | $0.00 | 2013-10-08 | |
| 2013-10-07 | Molinaroli Alex A Officer (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) | −8,636 70,385 owned after | $40.74 | 2013-10-08 | |
| 2013-10-07 | Boyd Colin Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −138 4,002 owned after | $0.00 | 2013-10-08 | |
| 2013-10-07 | Murphy John P Other (VP & Pres., Glbl WorkPlace Sol) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −105 638 owned after | $0.00 | 2013-10-08 | |
| 2013-10-07 | MYERS C DAVID Officer (VP & Pres, Building Eff) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −515 2,786 owned after | $0.00 | 2013-10-08 | |
| 2013-10-03 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,458 owned after | no price filed | 2013-10-03 | |
| 2013-10-01 | 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) | +663 56,004 owned after | $41.46 | 2013-10-03 | |
| 2013-10-01 | 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) | +663 18,863 owned after | $41.46 | 2013-10-03 | |
| 2013-09-24 | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 254,792 owned after | $0.00 | 2013-09-26 | |
| 2013-07-11 holding as of filing | Murphy John P Other (Pres., Glbl WorkPlace Solution) | 3 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | no price filed | 2013-07-11 | ||
| 2013-07-11 holding as of filing | Murphy John P Other (Pres., Glbl WorkPlace Solution) | 3 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | Holding | no price filed | 2013-07-11 | ||
| 2013-07-03 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,446 owned after | no price filed | 2013-07-03 | |
| 2013-07-01 | 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) | +766 55,088 owned after | $35.91 | 2013-07-03 | |
| 2013-07-01 | 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) | +766 18,117 owned after | $35.91 | 2013-07-03 | |
| 2013-04-02 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units / Directors' Retirement Stock Plan Derivative · Direct | Holding | 2,420 owned after | no price filed | 2013-04-02 | |
| 2013-04-01 | 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) | +799 53,741 owned after | $34.43 | 2013-04-02 | |
| 2013-04-01 | 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) | +799 17,169 owned after | $34.43 | 2013-04-02 | |
| 2013-02-19 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 1,021 owned after | no price filed | 2013-02-19 | |
| 2013-02-19 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Restricted Stock Grants Derivative · Direct | Holding | 63,722 owned after | no price filed | 2013-02-19 | |
| 2013-02-15 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 42,800 owned after | no price filed | 2013-02-15 | |
| 2013-02-15 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 3,075 owned after | no price filed | 2013-02-15 | |
| 2013-02-15 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Long-Term Incentive Plan Derivative · Direct | Holding | 111,552 owned after | no price filed | 2013-02-15 | |
| 2013-02-15 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Restricted Stock Grants Derivative · Direct | Holding | 192,417 owned after | no price filed | 2013-02-15 | |
| 2013-01-25 holding as of filing | Kesseler Brian J Officer (VP & Pres., Power Solutions) | 4 | Phantom Stock Units - Restricted Stock Grants Derivative · Direct | Holding | 487 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | Molinaroli Alex A Officer (Vice Chairman) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 72,191 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | Molinaroli Alex A Officer (Vice Chairman) | 4 | Phantom Stock Units - Retirement Restoration Plan Derivative · Direct | Holding | 14,980 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | Molinaroli Alex A Officer (Vice Chairman) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 38,598 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | Molinaroli Alex A Officer (Vice Chairman) | 4 | Phantom Stock Units - Long-Term Incentive Plan Derivative · Direct | Holding | 18,970 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | LACY WILLIAM H Director | 4 | Phantom Stock Units / Directors' Retirement Stock Plan Derivative · Direct | Holding | 23,576 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/Director's Deferred Comp Plan Derivative · Direct | Holding | 68,164 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 11,332 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 2,420 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | ARCHER DENNIS W Director | 4 | Phantom Stock Units/Directors' Retirement Stock Account Derivative · Direct | Holding | 11,029 owned after | no price filed | 2013-01-25 | |
| 2013-01-25 holding as of filing | BLACK NATALIE A Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 22,021 owned after | no price filed | 2013-01-25 | |
| 2013-01-24 holding as of filing | Kesseler Brian J Officer (VP & Pres., Power Solutions) | 3 | Phantom Stock Units - Restricted Stock Grants Derivative · Direct | Holding | no price filed | 2013-01-24 | ||
| 2013-01-24 holding as of filing | OKARMA JEROME D Officer (VP, Secretary & Gen. Counsel) | 4 | Phantom Stock Units/Restricted Stock Grants Derivative · Direct | Holding | 46,242 owned after | no price filed | 2013-01-24 | |
| 2013-01-24 holding as of filing | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Restricted Stock Grants Derivative · Direct | Holding | 35,817 owned after | no price filed | 2013-01-24 | |
| 2013-01-24 holding as of filing | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Long-Term Incentive Plan Derivative · Direct | Holding | 5,539 owned after | no price filed | 2013-01-24 | |
| 2013-01-24 holding as of filing | VOLTOLINA FRANK A Officer (Vice President and Treasurer) | 4 | Phantom Stock Units - Retirement Restoration Plan Derivative · Direct | Holding | 12,549 owned after | no price filed | 2013-01-24 | |
| 2013-01-23 | Molinaroli Alex A Officer (Vice Chairman) | 4/A | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,450 77,641 owned after | $0.00 | 2013-05-16 | |
| 2013-01-23 | 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) | +4,230 73,240 owned after | $30.73 | 2013-01-25 | |
| 2013-01-23 | 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) | +4,230 23,127 owned after | $30.73 | 2013-01-25 | |
| 2013-01-23 | 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) | +5,125 52,942 owned after | $30.73 | 2013-01-25 | |
| 2013-01-23 | 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) | +4,230 42,862 owned after | $30.73 | 2013-01-25 | |
| 2013-01-23 | 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) | +5,125 16,370 owned after | $30.73 | 2013-01-25 | |
| 2013-01-23 | BLACK NATALIE A Director | 4 | Phantom Stock Units/Directors' Deferred Comp Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,230 47,496 owned after | $30.73 | 2013-01-25 |