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: 56 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-16: Reporting owner Molinaroli Alex A; Form 4; Security Phantom Stock Units - Long Term Incentive Plan; Transaction Holding.
- 2015-12-15: 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).
- 2015-11-17: Reporting owner Stief Brian J; Form 4; Security Phantom Stock Units - Restricted Stock Plan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-11-17: 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-12-16 holding as of filing | Molinaroli Alex A Officer (Chairman & CEO) | 4 | Phantom Stock Units - Long Term Incentive Plan Derivative · Direct | Holding | 35,908 owned after | no price filed | 2015-12-16 | |
| 2015-12-15 | 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) | +17,415 91,901 owned after | $39.38 | 2015-12-16 | |
| 2015-11-17 | 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) | +12,538 171,812 owned after | $0.00 | 2015-11-19 | |
| 2015-11-17 | 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) | +87,383 455,027 owned after | $0.00 | 2015-11-19 | |
| 2015-11-17 | 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) | +41,666 146,650 owned after | $0.00 | 2015-11-19 | |
| 2015-11-17 | 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) | +51,504 108,694 owned after | $0.00 | 2015-11-19 | |
| 2015-10-07 | 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 | −117 93 owned after | $0.00 | 2015-10-09 | |
| 2015-10-07 | 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 | −8,990 65,665 owned after | $0.00 | 2015-10-09 | |
| 2015-10-07 | 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) | +9,787 75,452 owned after | $0.00 | 2015-10-09 | |
| 2015-10-07 | 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) | +29,359 104,811 owned after | $0.00 | 2015-10-09 | |
| 2015-10-07 | 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 | −202 2,460 owned after | $0.00 | 2015-10-09 | |
| 2015-10-07 | 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) | +3,830 6,783 owned after | $0.00 | 2015-10-09 | |
| 2015-10-07 | 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) | +11,491 18,274 owned after | $0.00 | 2015-10-09 | |
| 2015-10-07 | 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 | −6,130 241,614 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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) | +31,349 272,963 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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) | +94,049 367,012 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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) | +13,679 118,145 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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) | +41,039 159,184 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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 | −117 93 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | Davis Simon Officer (VP, Chief Human Resources Ofcr) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,739 3,832 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | Davis Simon Officer (VP, Chief Human Resources Ofcr) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,218 15,050 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | Cadwallader Brian J Officer (VP, Asst. Secy & Gen Counsel) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −117 14,426 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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) | +9,183 23,609 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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) | +27,548 51,157 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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 | −117 153 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | Bolzenius Beda Officer (VP, V. Chair APAC and Pres, AE) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,260 13,298 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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) | +4,286 49,314 owned after | $0.00 | 2015-10-08 | |
| 2015-10-07 | 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) | +12,859 62,173 owned after | $0.00 | 2015-10-08 | |
| 2015-10-02 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,907 owned after | no price filed | 2015-10-02 | |
| 2015-10-02 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,543 owned after | no price filed | 2015-10-02 | |
| 2015-10-01 | 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) | +873 83,913 owned after | $41.50 | 2015-10-02 | |
| 2015-10-01 | 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) | +723 69,155 owned after | $41.50 | 2015-10-02 | |
| 2015-07-02 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,529 owned after | no price filed | 2015-07-02 | |
| 2015-07-02 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,844 owned after | no price filed | 2015-07-02 | |
| 2015-07-01 | 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) | +597 68,078 owned after | $50.23 | 2015-07-02 | |
| 2015-07-01 | 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) | +722 82,608 owned after | $50.23 | 2015-07-02 | |
| 2015-04-02 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,783 owned after | no price filed | 2015-04-02 | |
| 2015-04-02 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,516 owned after | no price filed | 2015-04-02 | |
| 2015-04-01 | 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) | +731 81,468 owned after | $49.57 | 2015-04-02 | |
| 2015-04-01 | 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) | +605 67,135 owned after | $49.57 | 2015-04-02 | |
| 2015-03-02 | McDonald R Bruce Officer (Exec VP & Vice Chairman) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −3,198 0 owned after | $51.90 | 2015-03-04 | |
| 2015-03-02 | 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 | −50,000 75,540 owned after | $51.90 | 2015-03-04 | |
| 2015-03-02 | 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 | −50,000 244,302 owned after | $51.90 | 2015-03-04 | |
| 2015-01-30 holding as of filing | BLACK NATALIE A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 22,898 owned after | no price filed | 2015-01-30 | |
| 2015-01-30 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 2,516 owned after | no price filed | 2015-01-30 | |
| 2015-01-30 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/ Directors' Share Unit Plan Derivative · Direct | Holding | 11,783 owned after | no price filed | 2015-01-30 | |
| 2015-01-28 | 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) | +3,148 25,435 owned after | $46.07 | 2015-01-30 | |
| 2015-01-28 | 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) | +3,148 55,508 owned after | $46.07 | 2015-01-30 | |
| 2015-01-28 | 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) | +3,148 65,878 owned after | $46.07 | 2015-01-30 | |
| 2015-01-28 | 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) | +652 66,530 owned after | $46.07 | 2015-01-30 | |
| 2015-01-28 | Conner Raymond L. Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,148 3,148 owned after | $46.07 | 2015-01-30 | |
| 2015-01-28 | 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) | +3,148 30,168 owned after | $46.07 | 2015-01-30 | |
| 2015-01-28 | 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) | +3,148 79,949 owned after | $46.07 | 2015-01-30 | |
| 2015-01-28 | 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) | +788 80,737 owned after | $46.07 | 2015-01-30 | |
| 2015-01-07 holding as of filing | Williams Jeffrey M Officer (VP, Enterprise Ops & Enginrg) | 3 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | no price filed | 2015-01-07 | ||
| 2015-01-07 holding as of filing | Walicki Joseph A Officer (VP & Pres., Power Solutions) | 3 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | no price filed | 2015-01-07 |