MYERS C DAVID 4

Accession 0001199237-12-000005

CIK 0000053669other

Filed

Nov 1, 8:00 PM ET

Accepted

Nov 2, 2:52 PM ET

Size

24.0 KB

Accession

0001199237-12-000005

Form 4

Period: 2012-11-01

Vice President

Transactions

Exercise/Conversion
Common Stock
2012-11-01$26.04/sh+507.953$13,227→ 228,575.953 total
Disposition to Issuer
Common Stock
2012-11-01$26.04/sh−507.953$13,227→ 228,068 total
Tax Payment
Common Stock
2012-11-01$26.04/sh−4,104$106,868→ 223,964 total
Exercise/Conversion
Phantom Stock Units/Restricted Stock Grants
2012-11-01$26.04/sh−507.953$13,227→ 1,728.739 total
→ Common Stock (507.953 underlying)

Holdings

Common Stock
(indirect: By 401(k))
10,714.851
Employee Stock Option (Right to Buy)
Exercise: $24.37From: 2008-01-03Exp: 2016-01-03→ Common Stock (120,000 underlying)
120,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (120,000 underlying)
120,000
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (32,770.979 underlying)
32,770.979
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (192,000 underlying)
192,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (150,000 underlying)
150,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (160,000 underlying)
160,000
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (134,000 underlying)
134,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (170,000 underlying)
170,000
Employee Stock Option (Right to Buy)
Exercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (73,900 underlying)
73,900

Footnotes (6)

[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]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
[F3]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.
[F4]The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's retirement.
[F5]The balance includes phantom stock units acquired through employee payroll contributions which are discretionary transactions and qualify for the Rule 16a-3(f)(1)(i)(B) reporting exemption. This plan mirrors the company's 401(k) Plan.
[F6]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.

Documents

1 file

JOHNSON CONTROLS INC

CIK 0000053669

Entity typeother