4//SEC Filing
Kreh Susan M 4
Accession 0001393657-11-000001
CIK 0000053669other
Filed
Oct 10, 8:00 PM ET
Accepted
Oct 11, 11:06 AM ET
Size
18.2 KB
Accession
0001393657-11-000001
Insider Transaction Report
Form 4
Kreh Susan M
Vice Pres. & Corp. Controller
Transactions
- Award
Employee Stock Option (Right to Buy)
2011-10-07+31,500→ 31,500 totalExercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (31,500 underlying) - Award
Common Stock
2011-10-07+4,100→ 21,964.338 total
Holdings
- 47,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (47,000 underlying) - 10,062.873
Phantom Stock Units - Restricted Stock Grants
→ Common Stock (10,062.873 underlying) - 36,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying) - 47,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (47,000 underlying) - 35,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying) - 528.216(indirect: By 401(k))
Common Stock
- 45,000
Employee Stock Option (Right to Buy)
Exercise: $32.01From: 2009-03-21Exp: 2017-03-21→ Common Stock (45,000 underlying)
Footnotes (7)
- [F1]Includes 4,100 shares of restricted stock granted on October 7, 2011, of which 2,050 vest on October 7, 2013, and 2,050 vest on October 7, 2015, and the following previously granted shares of restricted stock: 3,250 which vest on November 2, 2011, 2,600 which vest on November 1, 2012, 3,250 which vest on November 2, 2013, and 2,600 which vest on November 1, 2014. All vesting is subject to continuous employment with the issuer.
- [F2]The reporting person's holdings include 163.452 shares acquired under the issuer's dividend reinvestment and common stock purchase plan since the reporting person's last report. These shares were acquired pursuant to the employee stock purchase plan provisions of the dividend reinvestment and common stock purchase plan, which acquisitions are exempt from Section 16. Also includes 106.856 shares acquired via dividend reinvestment on January 4, April 4, July 5 and October 4, 2011 at prices ranging from $25.9255 to $42.31 per share.
- [F3]The number of underlying securities is based on the stock fund balance on October 4, 2011. 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 an October 4, 2011, stock fund price of $27.56 per share, and includes a company match of 43.677 phantom stock units on February 17, 2011 at $42.07 per unit.
- [F4]Fifty percent of the option vests after two years and the remaining fifty percent after three years.
- [F5]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F6]The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock units representing (a) vested and deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon retirement and may be transferred into an alternative investment account, and (b) dividends which relate to unvested, non-deferred restricted stock awards, which will be settled 100% in cash upon vesting of the award.
- [F7]Includes 375.758 phantom stock units acquired through the reinvestment of dividends on January 4, April 4, July 5 and October 4, 2011 at prices ranging from $27.56 to $42.25 per phantom stock unit.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001393657
Filing Metadata
- Form type
- 4
- Filed
- Oct 10, 8:00 PM ET
- Accepted
- Oct 11, 11:06 AM ET
- Size
- 18.2 KB