4//SEC Filing
OKARMA JEROME D 4
Accession 0001205040-13-000001
CIK 0000053669other
Filed
Jan 23, 7:00 PM ET
Accepted
Jan 24, 1:35 PM ET
Size
25.5 KB
Accession
0001205040-13-000001
Insider Transaction Report
Form 4
OKARMA JEROME D
VP, Secretary & Gen. Counsel
Transactions
- Sale
Common Stock
2013-01-22$31.04/sh−30,000$931,185→ 17,606 total - Sale
Common Stock
2013-01-22$31.03/sh−38,500$1,194,593→ 17,606 total - Exercise/Conversion
Employee Stock Option (Right to Buy)
2013-01-22−30,000→ 0 totalExercise: $20.56From: 2006-11-17Exp: 2014-11-17→ Common Stock (30,000 underlying) - Exercise/Conversion
Common Stock
2013-01-22$20.56/sh+30,000$616,899→ 47,606 total - Sale
Common Stock
2013-01-24$31.00/sh−11,500$356,554→ 6,106 total
Holdings
- 150,000
Employee Stock Option (Right to Buy)
Exercise: $22.56From: 2007-11-16Exp: 2015-11-16→ Common Stock (150,000 underlying) - 110,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (110,000 underlying) - 110,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (110,000 underlying) - 87,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (87,000 underlying) - 46,242.02
Phantom Stock Units/Restricted Stock Grants
→ Common Stock (46,242.02 underlying) - 75,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (75,000 underlying) - 120,000
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (120,000 underlying) - 78,000
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (78,000 underlying) - 44,700
Employee Stock Option (Right to Buy)
Exercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (44,700 underlying)
Footnotes (7)
- [F1]The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions in prices ranging from $31.00 to $31.18, inclusive. The reporting person undertakes to provide to Johnson Controls, any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) of this Form 4.
- [F2]The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions in prices ranging from $31.00 to $31.12, inclusive. The reporting person undertakes to provide to Johnson Controls, any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4.
- [F3]The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions in prices ranging from $31.00 to $31.02, inclusive. The reporting person undertakes to provide to Johnson Controls, any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4.
- [F4]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.
- [F5]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F6]Includes 289.966 phantom stock units acquired through the reinvestment of dividends on December 28, 2012 at $30.11 per phantom stock unit.
- [F7]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001205040
Filing Metadata
- Form type
- 4
- Filed
- Jan 23, 7:00 PM ET
- Accepted
- Jan 24, 1:35 PM ET
- Size
- 25.5 KB