JOHNSON CONTROLS INC|4Nov 21, 11:31 AM ET

JOHNSON CONTROLS INC 4

4 · JOHNSON CONTROLS INC · Filed Nov 21, 2013

Form 4

Period: 2013-11-19

Vice President

Transactions

Award
Common Stock
2013-11-19+3,804→ 23,413.328 total
Award
Employee Stock Option (Right to Buy)
2013-11-19+12,517→ 12,517 total
Exercise: $48.37From: 2015-11-19Exp: 2023-11-19→ Common Stock (12,517 underlying)

Holdings

Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (40,000 underlying)
40,000
Common Stock
(indirect: By 401(k))
4,428.19
Stock Appreciation Rights
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (40,000 underlying)
40,000
Stock Appreciation Rights
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (40,000 underlying)
40,000
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (35,500 underlying)
35,500
Employee Stock Option (Right to Buy)
Exercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (19,600 underlying)
19,600

Footnotes (2)

[F1]The number of underlying securities is based on the stock fund balance on November 15, 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 November 15, 2013, stock fund price of $49.45 per share.
[F2]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.

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