4//SEC Filing
ROELL STEPHEN A 4
Accession 0001012282-12-000001
CIK 0000053669other
Filed
Oct 9, 8:00 PM ET
Accepted
Oct 10, 4:43 PM ET
Size
22.4 KB
Accession
0001012282-12-000001
Insider Transaction Report
Form 4
ROELL STEPHEN A
DirectorChief Executive Officer
Transactions
- Award
Employee Stock Option (Right to Buy)
2012-10-05+255,400→ 255,400 totalExercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (255,400 underlying) - Gift
Common Stock
2012-04-25−3,200→ 671,832 total - Award
Phantom Stock Units/Restricted Stock Grant
2012-10-05+85,500→ 428,283.969 totalExercise: $0.00From: 2014-10-05Exp: 2016-10-05→ Common Stock (85,500 underlying)
Holdings
- 525,000
Employee Stock Option (Right to Buy)
Exercise: $22.56From: 2007-11-16Exp: 2015-11-16→ Common Stock (525,000 underlying) - 550,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (550,000 underlying) - 610,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (610,000 underlying) - 591,000
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (591,000 underlying) - 36,152.041(indirect: By Trust)
Common Stock
- 58,052.107
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (58,052.107 underlying) - 505,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (505,000 underlying) - 375,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (375,000 underlying) - 467,000
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (467,000 underlying)
Footnotes (7)
- [F1]The number of underlying securities is based on the stock fund balance on October 2, 2012. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consisting of 96% company stock and 4% money market fund. The stock account balance reflected in this report is based on an October 2, 2012, stock fund price of $27.55 per share, and includes a company match of 426.829 phantom stock units on February 16, 2012 at $34.44 per unit.
- [F2]Fifty percent of the options vest after two years and the remaining 50% vests after three years.
- [F3]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F4]The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock and dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
- [F5]Includes 8,142.696 phantom stock units acquired through the reinvestment of dividends on January 3, April 3, July 3 and October 2, 2012 at prices ranging from $27.55 to $32.60 per phantom stock unit.
- [F6]The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan. The units are payable in cash following the reporting person's retirement from the issuer, and may be transferred by the reporting person into an alternative investment account.
- [F7]Includes 1,379.006 phantom stock units acquired through the reinvestment of dividends on January 3, April 3, July 3 and October 2, 2012 at prices ranging from $27.55 to $32.60 per phantom stock unit.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001012282
Filing Metadata
- Form type
- 4
- Filed
- Oct 9, 8:00 PM ET
- Accepted
- Oct 10, 4:43 PM ET
- Size
- 22.4 KB