4//SEC Filing
Boyd Colin 4
Accession 0001446436-12-000003
CIK 0000053669other
Filed
Nov 1, 8:00 PM ET
Accepted
Nov 2, 2:21 PM ET
Size
21.3 KB
Accession
0001446436-12-000003
Insider Transaction Report
Form 4
Boyd Colin
Vice President
Transactions
- Tax Payment
Common Stock
2012-11-01$26.04/sh−1,026$26,717→ 19,521.9 total - Exercise/Conversion
Phantom Stock Units - Restricted Stock Grants
2012-11-01$26.04/sh+126.989$3,307→ 3,718.576 total→ Common Stock (126.989 underlying) - Disposition to Issuer
Common Stock
2012-11-01$26.04/sh−126.989$3,307→ 20,547.9 total - Exercise/Conversion
Common Stock
2012-11-01$26.04/sh+126.989$3,307→ 20,674.889 total
Holdings
- 5,377.307
Phantom Stock Units - Retirement Restoration
→ Common Stock (5,377.307 underlying) - 40,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (40,000 underlying) - 3,491.69(indirect: By 401(k))
Common Stock
- 10,523.058
Phantom Stock Units - Long-Term Incentive Plan
→ Common Stock (10,523.058 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: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (40,000 underlying) - 19,600
Employee Stock Option (Right to Buy)
Exercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Common Stock (19,600 underlying) - 35,500
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (35,500 underlying)
Footnotes (6)
- [F1]The number of underlying securities is based on the stock fund balance on October 31, 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 31, 2012, stock fund price of $25.75 per share.
- [F2]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F3]The restricted stock units acrue 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.
- [F4]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.
- [F5]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.
- [F6]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001446436
Filing Metadata
- Form type
- 4
- Filed
- Nov 1, 8:00 PM ET
- Accepted
- Nov 2, 2:21 PM ET
- Size
- 21.3 KB