JOHNSON CONTROLS INC 4

Accession 0001206283-03-000001

CIK 0000053669operating

View on SEC.gov Company Profile

Filed

Sep 2, 8:00 PM ET

Accepted

Sep 3, 3:52 PM ET

Size

29.4 KB

Accession

0001206283-03-000001

Insider Transaction Report

Form 4

Period: 2003-08-29

JOHNSON CONTROLS INCJCI

KENNEDY JOHN P

Exec VP & Pres Controls Gp

Transactions

Exercise/Conversion
Stock Option/Tandem SAR
2003-08-29$45.09/sh−13,500$608,766→ 0 total
Exercise: $45.09From: 1999-11-19Exp: 2007-11-19→ Common Stock (13,500 underlying)
Exercise/Conversion
Stock Option
2003-09-02$58.41/sh−25,000$1,460,158→ 0 total
Exercise: $58.41From: 2001-11-17Exp: 2009-11-17→ Common Stock (25,000 underlying)
Expiration (Short)
Stock Appreciation Rights/Tandem Stock Option
2003-08-29$45.09/sh−13,500$608,766→ 0 total
Exercise: $45.09From: 1999-11-19Exp: 2007-11-19→ Common Stock (13,500 underlying)
Exercise/Conversion
Stock Option
2003-08-29$57.78/sh−14,000$808,938→ 0 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (14,000 underlying)
Sale
Common Stock
2003-08-29$99.20/sh−52,000$5,158,468→ 0 total
Exercise/Conversion
Common Stock
2003-09-02$57.78/sh+3,000$173,344→ 3,000 total
Exercise/Conversion
Stock Option/Tandem SAR
2003-08-29$57.78/sh−11,000$635,594→ 3,000 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (11,000 underlying)
Exercise/Conversion
Common Stock
2003-08-29$57.78/sh+25,000$1,444,533→ 52,000 total
Sale
Common Stock
2003-09-02$99.92/sh−28,000$2,797,827→ 0 total
Exercise/Conversion
Common Stock
2003-08-29$45.09/sh+27,000$1,217,533→ 27,000 total
Expiration (Short)
Stock Appreciation Rights/Tandem Stock Option
2003-08-29$57.78/sh−11,000$635,594→ 3,000 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (11,000 underlying)
Exercise/Conversion
Common Stock
2003-09-02$58.41/sh+25,000$1,460,158→ 28,000 total
Exercise/Conversion
Stock Option
2003-08-29$45.09/sh−13,500$608,766→ 0 total
Exercise: $45.09From: 1999-11-19Exp: 2007-11-19→ Common Stock (13,500 underlying)
Exercise/Conversion
Stock Option/Tandem SAR
2003-09-02$57.78/sh−3,000$173,344→ 0 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (3,000 underlying)
Expiration (Short)
Stock Appreciation Rights/Tandem Stock Option
2003-09-02$57.78/sh−3,000$173,344→ 0 total
Exercise: $57.78From: 2000-11-18Exp: 2008-11-18→ Common Stock (3,000 underlying)

Holdings

Phantom Stock Units/Excess Benefit Plan-Preferred
→ Preferred Stock Series D (1,224 underlying)
1,224
Preferred Stock Series D
(indirect: By Trust)
1,222
Stock Option
Exercise: $80.59From: 2004-11-20Exp: 2012-11-20→ Common Stock (37,000 underlying)
37,000
Phantom Stock Units/ LTPP
→ Common Stock (22,017.51 underlying)
22,017.51
Stock Option
Exercise: $80.23From: 2003-11-14Exp: 2011-11-14→ Common Stock (25,000 underlying)
25,000
Common Stock
(indirect: By Trust)
1,825
Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (1,836 underlying)
1,836
Stock Option
Exercise: $56.84From: 2002-11-15Exp: 2010-11-15→ Common Stock (30,000 underlying)
30,000
Phanton Stock Units/ Restricted Stock Grant
→ Common Stock (10,259.11 underlying)
10,259.11

Footnotes (15)

[F1]Includes 15 shares acquired through the reinvestment of dividends on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $85.60 per share.
[F10]Includes 137.81 phantom stock units acquired through the reinvestment of dividends on 1/2/2003, 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $86.50 per unit.
[F11]The stock appreciation rights and the stock option were granted in tandem. Accordingly, the exercise of one results in the surrender of the other.
[F12]Surrender of tandem Stock Appreciation Rights upon exercise of tandem Stock Option.
[F13]The options become exercisable two years after the grant date in 50% increments on 11/15/02 and 11/15/03.
[F14]The options become exercisable two years after the grant date in 50% increments on 11/14/03 and 11/14/04.
[F15]The options become exercisable two years after the grant date in 50% increments on 11/20/04 and 11/20/05.
[F2]Includes 81 shares acquired through a 2/28/03 company match and the reinvestment of dividends on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $144.88 to $171.20 per share.
[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 294 phantom stock units acquired through on-going payroll contributions and the reinvestment of dividends on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $86.50 per unit. This represents the most recent information available from the plan trustee.
[F6]Includes 289 phantom stock units acquired through a 2/28/03 company match and the reinvestment of dividends on 12/31/2002, 3/31/2003 and 6/30/2003 at prices ranging from $144.88 to $171.20 per unit. This represents the most recent information available from the plan trustee.
[F7]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 person's retirement.
[F8]Includes 295.91 phantom stock units acquired through the reinvestment of dividends on 1/2/2003, 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $86.50 per unit.
[F9]The restricted stock units were awarded under the Johnson Controls Executive Deferred Compensation Plan. The restrictive period ends on 1/2/2004 and 1/2/2006 in 50% increments. The units are to be settled 100% in cash upon the reporting person's retirement.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

JOHNSON CONTROLS INC

CIK 0000053669

→

Entity typeoperating

IncorporatedWI

Related Parties

filerCIK 0000053669

Filing Metadata

Form type: 4
Filed: Sep 2, 8:00 PM ET
Accepted: Sep 3, 3:52 PM ET
Size: 29.4 KB

View on SEC.gov