4//SEC Filing
Strayer Jacqueline F 4
Accession 0001445935-12-000005
CIK 0000053669other
Filed
Oct 2, 8:00 PM ET
Accepted
Oct 3, 1:57 PM ET
Size
26.4 KB
Accession
0001445935-12-000005
Insider Transaction Report
Form 4
Strayer Jacqueline F
Vice President
Transactions
- Tax Payment
Common Stock
2012-10-01$27.65/sh−272$7,521→ 12,181.979 total - Disposition to Issuer
Common Stock
2012-10-02$27.55/sh−5.307$146→ 12,181.979 total - Exercise/Conversion
Phantom Stock Units - Restricted Stock
2012-10-01−62.282→ 266.101 total→ Common Stock (62.282 underlying) - Exercise/Conversion
Phantom Stock Units - Restricted Stock
2012-10-02−5.307→ 318.148 total→ Common Stock (5.307 underlying) - Disposition to Issuer
Common Stock
2012-10-01$27.65/sh−62.282$1,722→ 12,181.979 total - Exercise/Conversion
Common Stock
2012-10-02+5.307→ 12,187.286 total - Exercise/Conversion
Common Stock
2012-10-01+62.282→ 12,244.261 total
Holdings
- 2,800.85
Phantom Stock Units - Retirement Restoration
→ Common Stock (2,800.85 underlying) - 19,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (19,000 underlying) - 3,214.836(indirect: By Trust)
Common Stock
- 9,159.697
Phantom Stock Units - Annual Incentive Plan
→ Common Stock (9,159.697 underlying) - 25,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (25,000 underlying) - 25,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (25,000 underlying) - 17,500
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (17,500 underlying)
Footnotes (10)
- [F1]Includes the following previously granted shares of restricted stock: 1,600 which vest on November 1, 2012; 1,250 which vest on October 7, 2013; 2,000 which vest on November 4, 2013; 1,600 which vest on November 3, 2014; and 1,250 which vest on October 7, 2015. All vesting is subject to continuous employment with the issuer.
- [F10]Fifty percent of the options vest after two years and the remaining 50% vests after three years.
- [F2]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F3]The number of underlying securities is based on the stock fund balance on October 2, 2012. 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 2, 2012, stock fund price of $27.55 per share.
- [F4]The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock units representing dividends which relate to unvested, non-deferred restricted stock awards, which will be settled 100% in cash upon vesting of the award.
- [F5]Includes 52.047 phantom stock units acquired through the reinvestment of dividends on October 2, 2012 at $27.55 per phantom stock unit.
- [F6]The phantom stock units were accrued under the Johnson Controls Annual Incentive Plan, and are to be settled 100% in cash following the reporting person's retirement or termination of employment with the issuer.
- [F7]Includes 59.47 phantom stock units acquired through the reinvestment of dividends on October 2, 2012 at $27.55 per phantom stock unit.
- [F8]The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan, and are to be settled 100% in cash following the reporting person's retirment or termination of employment with the issuer. This plan mirrors the company's 401(k) Plan.
- [F9]Includes 18.161 phantom stock units acquired through the reinvestment of dividends on October 2, 2012 at $27.55 per phantom stock unit.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001445935
Filing Metadata
- Form type
- 4
- Filed
- Oct 2, 8:00 PM ET
- Accepted
- Oct 3, 1:57 PM ET
- Size
- 26.4 KB