4//SEC Filing
Kreh Susan M 4
Accession 0001393657-11-000003
CIK 0000053669other
Filed
Nov 2, 8:00 PM ET
Accepted
Nov 3, 3:03 PM ET
Size
19.6 KB
Accession
0001393657-11-000003
Insider Transaction Report
Form 4
Kreh Susan M
Vice Pres. & Corp. Controller
Transactions
- Exercise/Conversion
Common Stock
2011-11-02$31.75/sh+116.118$3,687→ 22,080.379 total - Disposition to Issuer
Common Stock
2011-11-02$31.75/sh−116.118$3,687→ 21,980.187 total - Exercise/Conversion
Phantom Stock Units - Restricted Stock
2011-11-02$31.75/sh−116.118$3,687→ 9,946.755 total→ Common Stock (116.118 underlying)
Holdings
- 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: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (47,000 underlying) - 524.188(indirect: By 401(k))
Common Stock
- 35,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying) - 31,500
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (31,500 underlying) - 45,000
Employee Stock Option (Right to Buy)
Exercise: $32.01From: 2009-03-21Exp: 2017-03-21→ Common Stock (45,000 underlying) - 47,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (47,000 underlying)
Footnotes (8)
- [F1]Includes 35.171 shares acquired via dividend reinvestment on October 4, 2011 at a price of $26.21 per share.
- [F2]Due to a processing error by our transfer agent, the number of dividends reinvested on October 4, 2011, was adjusted. This resulted in a decrease of 0.077 share.
- [F3]Includes the following previously granted shares of restricted stock: 2,600 which vest on November 1, 2012, 2,050 which vest on October 7, 2013, 3,250 which vest on November 4, 2013, 2,600 which vest on November 3, 2014 and 2,050 which vest on October 7, 2015. All vesting is subject to continuous employment with the issuer.
- [F4]The reporting person's holdings include 15.926 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.
- [F5]The number of underlying securities is based on the stock fund balance on October 31, 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 31, 2011, stock fund price of $32.93 per share.
- [F6]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F7]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.
- [F8]Fifty percent of the option vests after two years and the remaining fifty percent after three years.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001393657
Filing Metadata
- Form type
- 4
- Filed
- Nov 2, 8:00 PM ET
- Accepted
- Nov 3, 3:03 PM ET
- Size
- 19.6 KB