4//SEC Filing
Boyd Colin 4
Accession 0001446436-12-000001
CIK 0000053669other
Filed
Oct 2, 8:00 PM ET
Accepted
Oct 3, 3:53 PM ET
Size
26.0 KB
Accession
0001446436-12-000001
Insider Transaction Report
Form 4
Boyd Colin
Vice President
Transactions
- Disposition to Issuer
Common Stock
2012-10-01$27.65/sh−2,166.084$59,892→ 13,934.823 total - Exercise/Conversion
Phantom Stock Units - Restricted Stock
2012-10-02−14.152→ 3,910.668 total→ Common Stock (14.152 underlying) - Exercise/Conversion
Common Stock
2012-10-01+2,166.084→ 16,100.907 total - Exercise/Conversion
Common Stock
2012-10-02+14.152→ 13,962.052 total - Disposition to Issuer
Common Stock
2012-10-02$27.55/sh−14.152$390→ 13,947.9 total - Exercise/Conversion
Phantom Stock Units - Restricted Stock
2012-10-01−2,166.084→ 3,743.357 total→ Common Stock (2,166.084 underlying)
Holdings
- 3,485.105(indirect: By 401(k))
Common Stock
- 10,523.058
Phantom Stock Units - Long-Term Incentive Plan
→ Common Stock (10,523.058 underlying) - 5,335.851
Phantom Stock Units - Retirement Restoration
→ Common Stock (5,335.851 underlying) - 40,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (40,000 underlying) - 40,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (40,000 underlying) - 40,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (40,000 underlying) - 35,500
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (35,500 underlying)
Footnotes (13)
- [F1]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F10]Includes 206.152 phantom stock units acquired through the reinvestment of dividends on January 3, April 3, July 3 and October 2, 2012 at prices ranging from $27.55 to $32.60 per phantom stock unit.
- [F11]The phantom stock units accrue under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
- [F12]The balance includes: 108.071 phantom stock units acquired through the reinvestment of dividends on January 3, April 3, July 3 and October 2, 2012 at prices ranging from $27.55 to $32.60 per phantom stock unit; phantom stock units acquired through employee payroll contributions (which are discretionary transactions and qualify for the Rule 16a-3(f)(1)(i)(B) reporting exemption); and a company match of 1,866.289 phantom stock units on February 16, 2012 at $34.44 per phantom stock unit. The plan mirrors the company's 401(k) Plan.
- [F13]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
- [F2]Includes the following previously granted shares of restricted stock: 3,000 which vest on November 1, 2012; 2,950 which vest on October 7, 2013; 3,000 which vest on November 3, 2014; and 2,950 which vest on October 7, 2015. All vesting is subject to continuous employment with the issuer.
- [F3]Includes 35.916 shares acquired through the reinvestment of dividends on January 3, April 3 and July 3 at prices ranging from $27.00 to $32.33 per share.
- [F4]Includes 13.077 shares acquired through the reinvestment of dividends on October 2, 2012 at $28.009 per share.
- [F5]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.
- [F6]The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock and dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
- [F7]Includes 309.461 phantom stock units acquired through the reinvestment of dividends on January 3, April 3 and July 3, 2012 at prices ranging from $27.81 to $32.60 per phantom stock unit.
- [F8]Includes 102.207 phantom stock units acquired through the reinvestment of dividends on October 2, 2012 at $27.55 per phantom stock unit.
- [F9]The phantom stock units accrue under the Johnson Controls Long-Term Incentive Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001446436
Filing Metadata
- Form type
- 4
- Filed
- Oct 2, 8:00 PM ET
- Accepted
- Oct 3, 3:53 PM ET
- Size
- 26.0 KB