JOHNSON CONTROLS INC 4
4 · JOHNSON CONTROLS INC · Filed Oct 7, 2014
Insider Transaction Report
Form 4
Harvey Charles A
Vice President
Transactions
- Disposition to Issuer
Common Stock
2014-10-06$44.82/sh−3,017.621$135,250→ 40,304.177 total - Exercise/Conversion
Phantom Stock Units - Restricted Stock Plan
2014-10-06−3,017.621→ 8,289.116 total→ Common Stock (3,017.621 underlying) - Exercise/Conversion
Common Stock
2014-10-06$44.82/sh+3,017.621$135,250→ 43,321.798 total
Holdings
- 9,543.465(indirect: By Trust)
Common Stock
Footnotes (5)
- [F1]The balance includes 443.435 shares acquired via dividend reinvestment on April 2, July 2, and October 2, 2014 at prices ranging from $44.56 to $51.00 per share.
- [F2]The number of underlying securities is based on the stock fund balance on September 25, 2014. 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 September 25, 2014, stock fund price of $44.65 per share.
- [F3]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F4]The phantom stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes dividend equivalent units that settle 100% in cash and relate to unvested restricted stock awards.
- [F5]The balance includes 202.322 phantom stock units acquired via dividend reinvestment on January 6, April 2, July 2, and October 2, 2014, at prices ranging from $44.68 to $50.92 per phantom stock unit.