JOHNSON CONTROLS INC 4/A
4/A · JOHNSON CONTROLS INC · Filed Feb 12, 2004
Insider Transaction Report
Form 4/AAmended
STARK BRIAN J
Vice President
Transactions
- Exercise/Conversion
Stock Option
2004-02-02$28.42/sh−51,400$1,460,886→ 0 totalExercise: $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 totalExercise: $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 totalExercise: $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
- 5,162
Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (5,162 underlying) - 50,000
Stock Option
Exercise: $40.12From: 2003-11-14Exp: 2011-11-14→ Common Stock (50,000 underlying) - 28,542.08(indirect: By Trust)
Common Stock
- 60,000
Stock Option
Exercise: $40.30From: 2004-11-20Exp: 2012-11-20→ Common Stock (60,000 underlying)
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.