JOHNSON CONTROLS INC 4
4 · JOHNSON CONTROLS INC · Filed Nov 4, 2013
Insider Transaction Report
Form 4
ROELL STEPHEN A
DirectorChief Executive Officer
Transactions
- Disposition to Issuer
Common Stock
2013-11-02$45.94/sh−61,257.676$2,814,178→ 656,616 total - Exercise/Conversion
Common Stock
2013-11-02$45.94/sh+61,257.676$2,814,178→ 717,873.676 total - Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2013-11-02−61,257.676→ 287,663.267 total→ Common Stock (61,257.676 underlying)
Holdings
- 36,596.406(indirect: By Trust)
Common Stock
Footnotes (3)
- [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 of one share of Johnson Controls common stock
- [F3]The phantom stock units are being accrued under the Johnson Controls Restricted Stock Plan and settle 100% in cash, subject to the vesting of the underlying restricted stock award.