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JOHNSON CONTROLS INC·4

Aug 18, 4:45 PM ET

NETOLICKA ROBERT 4

4 · JOHNSON CONTROLS INC · Filed Aug 18, 2003

Insider Transaction Report

Form 4
Period: 2003-08-14
JOHNSON CONTROLS INCJCI
NETOLICKA ROBERT
Vice President
Transactions
  • Sale

    Common Stock

    2003-08-14$97.99/sh−8,500$832,915→ 12,412 total
  • Exercise/Conversion

    Common Stock

    2003-08-14$57.78/sh+8,500$491,141→ 20,912 total
  • Exercise/Conversion

    Stock Option

    2003-08-14$57.78/sh−8,500$491,141→ 5,000 total
    Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (8,500 underlying)
Holdings

  • Common Stock

    (indirect: By Trust)
    4,005

  • Preferred Stock

    (indirect: By Trust)
    1,154.437

  • Phantom Stock Units / LTPP

    Exercise: $0.00→ Common Stock (9,578.56 underlying)
    9,578.56

  • Phantom Stock Units / Excess Benefit Plan-Pref

    Exercise: $0.00→ Preferred Stock (478.5 underlying)
    478.5

  • Phantom Stock Units / Excess Benefit Plan-Common

    Exercise: $0.00→ Common Stock (464.9 underlying)
    464.9

  • Stock Option/Tandem SAR

    Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (13,500 underlying)
    13,500
Footnotes (9)
  • [F1]Includes 103 shares of common stock acquired pursuant to dividend reinvestment on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $85.60 per share
  • [F2]Includes 80.437 shares of preferred stock acquired pursuant to dividend reinvestment and a company match on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $144.88 to $171.20 per share.
  • [F3]The stock option and stock appreciation right were granted in tandem. Accordingly, the exercise of one results in the expiration of the other.
  • [F4]The phantom stock units convert to the common stock's cash value on a one-for-one basis.
  • [F5]The phantom stock units were accrued under the Johnson Controls Equalization 401(k) Benefit Plan and are to be settled 100% in cash upon the reporting peron's retirement. This represents the most current information provided by the trustee of the plan.
  • [F6]Includes 16.9 common stock units acquired pursuant to dividend reinvestment on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $85.60 per unit.
  • [F7]Includes 6.5 preferred stock units acquired pursuant to dividend reinvestment on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $144.88 to $171.20 per unit.
  • [F8]The phantom stock units were accrued under the Johnson Controls Long-Term Performance Plan and are to be settled 100% in cash upon the reporting peron's retirement. This represents the most current information provided by the trustee of the plan.
  • [F9]Includes 128.76 common stock units acquired pursuant to dividend reinvestment on 1/2/2003, 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $85.60 per unit.

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