JOHNSON CONTROLS INC 4

Accession 0001205049-03-000003

CIK 0000053669operating

Filed

Jul 27, 8:00 PM ET

Accepted

Jul 28, 4:17 PM ET

Size

17.2 KB

Accession

0001205049-03-000003

Form 4

Period: 2003-07-24

Vice President

Transactions

Disposition to Issuer
Common Stock
2003-07-24$96.92/sh−3,057$296,300→ 26,097 total
Exercise/Conversion
Common Strock
2003-07-24$57.78/sh+3,057$176,637→ 29,154 total
Exercise/Conversion
Stock Option/Tandem SAR
2003-07-24$57.78/sh−943$54,488→ 3,057 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (943 underlying)
Exercise/Conversion
Stock Option
2003-07-24$57.78/sh−4,000$231,125→ 0 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (4,000 underlying)
Exercise/Conversion
Stock Appreciation Rights/Tandem Stock Option
2003-07-24$57.78/sh−3,057$176,637→ 943 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (3,057 underlying)
Expiration (Short)
Stock Appreciation Rights/Tandem Stock Option
2003-07-24$57.78/sh−943$54,488→ 0 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (943 underlying)
Exercise/Conversion
Common Stock
2003-07-24$57.78/sh+4,943$285,613→ 29,043 total
Tax Payment
Common Stock
2003-07-24$96.92/sh−2,946$285,541→ 26,097 total
Expiration (Short)
Stock Option/Tandem SAR
2003-07-24$57.78/sh−3,057$176,637→ 0 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (3,057 underlying)

Holdings

Common Stock
(indirect: By 401(k))
2,006
Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (321 underlying)
321
Phantom Stock Units/Excess Benefit Plan-Preferred
→ Preferred Stock Series D (384.1 underlying)
384.1
Preferred Stock
(indirect: By 401(k))
999.158

Footnotes (10)

[F1]Includes 16 shares acquired pursuant to the reinvestment of dividends on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $85.60
[F10]Stock Appreciation Rights surrendered upon exercise of tandem Stock Option.
[F2]Includes 76.158 shares acquired pursuant to reinvestment of dividends on 12/31/2002, 3/31/2003 and 6/30/2003 and a company match on 2/28/2003 at prices ranging from $144.88 to $171.20.
[F3]The phantom stock units convert to the common stock's cash value on a one-for-one basis.
[F4]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 person's retirement.
[F5]Includes 9 phantom stock units acquired pursuant to dividend reinvestment at prices ranging from $72.44 to $85.60 per phantom stock unit.
[F6]Includes 83.1 phantom stock units acquired pursuant to dividend reinvestment and a company match at prices ranging from $144.88 to $164.24 per phantom stock unit.
[F7]The stock option and the stock appreciation rights were granted in tandem. Accordingly, the exercise of one results in the expiration of the other.
[F8]Stock Option surrendered upon exercise of tandem Stock Appreciation Rights.
[F9]The stock appreciation rights and the stock option were granted in tandem. Accordingly, the exercise of one results in the expiration of the other.

Documents

1 file

JOHNSON CONTROLS INC

CIK 0000053669

Entity typeoperating

IncorporatedWI