ROELL STEPHEN A 4

Accession 0001012282-12-000002

CIK 0000053669other

Filed

Nov 1, 8:00 PM ET

Accepted

Nov 2, 2:48 PM ET

Size

22.4 KB

Accession

0001012282-12-000002

Form 4

Period: 2012-11-01

DirectorChief Executive Officer

Transactions

Exercise/Conversion
Common Stock
2012-11-01$26.04/sh+46,904.826$1,221,402→ 718,736.826 total
Exercise/Conversion
Phantom Stock Units/Restricted Stock Grants
2012-11-01$26.04/sh−46,904.826$1,221,402→ 381,379.144 total
Exercise: $0.00→ Common Stock (46,904.826 underlying)
Disposition to Issuer
Common Stock
2012-11-01$26.04/sh−46,904.826$1,221,402→ 671,832 total

Holdings

Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (58,052.107 underlying)
58,052.107
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (505,000 underlying)
505,000
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (467,000 underlying)
467,000
Common Stock
(indirect: By Trust)
36,220.351
Employee Stock Option (Right to Buy)
Exercise: $22.56From: 2007-11-16Exp: 2015-11-16→ Common Stock (525,000 underlying)
525,000
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (591,000 underlying)
591,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (375,000 underlying)
375,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (550,000 underlying)
550,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (610,000 underlying)
610,000
Employee Stock Option (Right to Buy)
Exercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (255,400 underlying)
255,400

Footnotes (5)

[F1]The number of underlying securities is based on the stock fund balance on October 31, 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 31, 2012, stock fund price of $25.75 per share.
[F2]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.
[F3]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
[F4]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.
[F5]Fifty percent of the options vest after two years and the remaining 50% vests after three years.

Documents

1 file

JOHNSON CONTROLS INC

CIK 0000053669

Entity typeother