JOHNSON CONTROLS INC 4/A

Accession 0001205043-04-000005

CIK 0000053669operating

Filed

Feb 11, 7:00 PM ET

Accepted

Feb 12, 5:33 PM ET

Size

25.4 KB

Accession

0001205043-04-000005

Form 4/AAmended

Period: 2004-01-30

Vice President

Transactions

Exercise/Conversion
Stock Option
2004-02-02$28.42/sh−51,400$1,460,886→ 0 total
Exercise: $28.42From: 2002-11-15Exp: 2010-11-15→ Common Stock (51,400 underlying)
Sale
Common Stock
2004-02-02$58.78/sh−51,400$3,021,045→ 26,952 total
Exercise/Conversion
Common Stock
2004-01-30$28.42/sh+8,600$244,428→ 85,552 total
Sale
Common Stock
2004-01-30$59.54/sh−58,600$3,489,261→ 26,952 total
Exercise/Conversion
Common Stock
2004-02-02$28.42/sh+51,400$1,460,855→ 78,352 total
Exercise/Conversion
Stock Option
2004-01-30$29.20/sh−50,000$1,460,160→ 0 total
Exercise: $29.20From: 2001-11-17Exp: 2009-11-17→ Common Stock (50,000 underlying)
Exercise/Conversion
Stock Option
2004-01-30$28.42/sh−8,600$244,428→ 51,400 total
Exercise: $28.42From: 2002-11-15Exp: 2010-11-15→ Common Stock (8,600 underlying)
Exercise/Conversion
Common Stock
2004-01-30$29.20/sh+50,000$1,460,160→ 76,952 total

Holdings

Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (5,162 underlying)
5,162
Stock Option
Exercise: $40.12From: 2003-11-14Exp: 2011-11-14→ Common Stock (50,000 underlying)
50,000
Common Stock
(indirect: By Trust)
28,542.08
Stock Option
Exercise: $40.30From: 2004-11-20Exp: 2012-11-20→ Common Stock (60,000 underlying)
60,000

Footnotes (7)

[F1]Filing of February 2, 2004, did not report the correct amounts in Column 5 by using a beginning balance of 8476 shares (December 2003 holdings) instead of the January 2, 2004, holdings of 26,952 shares (as reported on January 2, 2004 Form 4 filing).
[F2]The number of underlying securities is based on the stock fund balance on 2/2/2004. 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 2/2/2004 stock fund price of $58.83 per share.
[F3]On January 2, 2004, the common stock of Johnson Controls, Inc., split 2-for-1, resulting in the reporting person's acquisition of 25,000 additional stock options. The price of the option was adjusted proportionately.
[F4]On January 2, 2004, the common stock of Johnson Controls, Inc., split 2-for-1, resulting in the reporting person's acquisition of 30,000 additional stock options. The price of the option was adjusted proportionately.
[F5]Fifty per cent of the option vests after two years and the balance, after three years.
[F6]The phantom stock units convert to the common stock's cash value on a one-for-one basis.
[F7]The phantom sotck units were accrued under the Johnson Controls Equalization 401(k) Benefit plan and are to be settled 100% in cash upon the reporting person's retirement.

Documents

1 file

JOHNSON CONTROLS INC

CIK 0000053669

Entity typeoperating

IncorporatedWI