JOHNSON CONTROLS INC 4
4 · JOHNSON CONTROLS INC · Filed Oct 8, 2013
Insider Transaction Report
Form 4
ROELL STEPHEN A
DirectorChief Executive Officer
Transactions
- Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2013-10-07−40,825.429→ 348,920.943 total→ Common Stock (40,825.429 underlying) - Disposition to Issuer
Common Stock
2013-10-07$40.74/sh−40,825.429$1,663,228→ 656,616 total - Exercise/Conversion
Common Stock
2013-10-07$40.74/sh+40,825.429$1,663,228→ 697,441.429 total - Gift
Common Stock
2013-08-12−6,027→ 660,240 total - Gift
Common Stock
2013-09-09−3,624→ 656,616 total
Holdings
- 36,596.406(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]The number of underlying securities is based on the stock fund balance on September 30, 2013. 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 a September 30, 2013, stock fund price of $41.50 per share.
- [F2]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F3]The phantom 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.
- [F4]Includes 8,367.23 phantom stock units acquired via dividend reinvestment on December 28, 2012, April 2, July 2 and October 2, 2013 at prices ranging from $30.11 to $41.47 per phantom stock unit.