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: 61 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-15: 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).
- 2014-12-15: 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).
- 2014-11-18: Reporting owner Cadwallader Brian J; Form 4; Security Phantom Stock Units - Restricted Stock Plan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-11-18: Reporting owner McDonald R Bruce; Form 4; Security Phantom Stock Units - Restricted Stock 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-12-15 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,472 72,975 owned after | $45.64 | 2014-12-16 | |
| 2014-12-15 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,991 35,178 owned after | $45.64 | 2014-12-16 | |
| 2014-11-18 | Cadwallader Brian J Officer (VP, Asst. Secy & Gen Counsel) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,456 14,251 owned after | $0.00 | 2014-11-25 | |
| 2014-11-18 | McDonald R Bruce Officer (Exec VP & Vice Chairman) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,885 292,659 owned after | $0.00 | 2014-11-20 | |
| 2014-11-18 | Metcalf-Kupres Kimberley Officer (VP and Chief Marketing Officer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,906 2,906 owned after | $0.00 | 2014-11-20 | |
| 2014-11-18 | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,143 73,190 owned after | $0.00 | 2014-11-20 | |
| 2014-11-18 | Stief Brian J Officer (EVP & Chief Financial Officer) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,954 102,267 owned after | $0.00 | 2014-11-20 | |
| 2014-11-18 | 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) | +3,663 44,088 owned after | $0.00 | 2014-11-20 | |
| 2014-11-18 | DAVIS SUSAN F Officer (EVP & CHRO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,297 55,938 owned after | $0.00 | 2014-11-19 | |
| 2014-11-03 | 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 | −127 183 owned after | $0.00 | 2014-11-12 | |
| 2014-11-03 | 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 | −212 276 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | Bolzenius Beda Officer (VP & Pres, AE) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,015 24,998 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | 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 | −1,015 267,774 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | 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 | −212 276 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | 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 | −317 92,313 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | 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 | −254 40,425 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | OKARMA JEROME D 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 | −7,863 14,732 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | 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 | −13,015 60,047 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | 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 | −2,820 5,469 owned after | $0.00 | 2014-11-04 | |
| 2014-11-03 | DAVIS SUSAN F Officer (EVP & CHRO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,592 46,641 owned after | $0.00 | 2014-11-04 | |
| 2014-10-06 | Molinaroli Alex A Officer (CEO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,482 73,062 owned after | $0.00 | 2014-10-08 | |
| 2014-10-06 | Molinaroli Alex A Officer (CEO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,482 73,062 owned after | $0.00 | 2014-10-08 | |
| 2014-10-06 | 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 | −7,804 22,596 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | 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 | −3,018 8,289 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | DAVIS SUSAN F Officer (EVP & CHRO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,700 54,233 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | 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 | −128 488 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | 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 | −128 488 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | Bolzenius Beda Officer (VP & Pres, AE) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,007 26,013 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | Cadwallader Brian J Officer (VP and Assistant Secretary) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −55 4,795 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | Davis Simon Officer (Vice President & ACHRO) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −59 144 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | Jackson William C Officer (EVP and VP AE, E&I) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −365 29,025 owned after | $0.00 | 2014-10-07 | |
| 2014-10-06 | Bartschat Michael K Officer (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 | −97 310 owned after | $0.00 | 2014-10-07 | |
| 2014-10-02 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,660 owned after | no price filed | 2014-10-02 | |
| 2014-10-02 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,490 owned after | no price filed | 2014-10-02 | |
| 2014-10-01 | 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) | +823 76,002 owned after | $44.07 | 2014-10-02 | |
| 2014-10-01 | 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) | +681 62,078 owned after | $44.07 | 2014-10-02 | |
| 2014-08-01 holding as of filing | Bartschat Michael K Officer (Chief Procurement Officer) | 3 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | no price filed | 2014-08-01 | ||
| 2014-07-02 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,610 owned after | no price filed | 2014-07-02 | |
| 2014-07-02 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,479 owned after | no price filed | 2014-07-02 | |
| 2014-07-01 | 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) | +662 74,859 owned after | $50.98 | 2014-07-02 | |
| 2014-07-01 | 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) | +539 61,135 owned after | $50.98 | 2014-07-02 | |
| 2014-05-30 holding as of filing | Davis Simon Officer (Vice President & ACHRO) | 3 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | no price filed | 2014-05-30 | ||
| 2014-05-19 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,283 61,365 owned after | $0.00 | 2014-05-21 | |
| 2014-04-03 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,558 owned after | no price filed | 2014-04-03 | |
| 2014-04-03 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,468 owned after | no price filed | 2014-04-03 | |
| 2014-04-01 | 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) | +700 73,869 owned after | $48.21 | 2014-04-03 | |
| 2014-04-01 | 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) | +570 60,328 owned after | $48.21 | 2014-04-03 | |
| 2014-02-06 holding as of filing | Cadwallader Brian J Officer (VP and Assistant Secretary) | 3 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | no price filed | 2014-02-06 | ||
| 2014-02-06 holding as of filing | Cadwallader Brian J Officer (VP and Assistant Secretary) | 3 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | no price filed | 2014-02-06 | ||
| 2014-01-31 holding as of filing | ARCHER DENNIS W Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,250 owned after | no price filed | 2014-01-31 | |
| 2014-01-31 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,558 owned after | no price filed | 2014-01-31 | |
| 2014-01-31 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,468 owned after | no price filed | 2014-01-31 | |
| 2014-01-31 holding as of filing | LACY WILLIAM H Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | Holding | 74,703 owned after | no price filed | 2014-01-31 | |
| 2014-01-31 holding as of filing | LACY WILLIAM H Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 24,047 owned after | no price filed | 2014-01-31 | |
| 2014-01-31 holding as of filing | BLACK NATALIE A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 22,460 owned after | no price filed | 2014-01-31 | |
| 2014-01-29 | ARCHER DENNIS W Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,915 46,633 owned after | $46.31 | 2014-01-31 | |
| 2014-01-29 | 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) | +3,644 73,169 owned after | $46.31 | 2014-01-31 | |
| 2014-01-29 | 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) | +3,509 59,757 owned after | $46.31 | 2014-01-31 | |
| 2014-01-29 | 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) | +2,915 26,504 owned after | $46.31 | 2014-01-31 | |
| 2014-01-29 | 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) | +2,915 51,359 owned after | $46.31 | 2014-01-31 | |
| 2014-01-29 | 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) | +2,915 21,861 owned after | $46.31 | 2014-01-31 |