1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Phantom Stock Units - Restricted Stock Plan
|
Â
(2)
|
Â
(2)
|
Common Stock
|
666.815
|
$
(3)
|
D
|
Â
|
Phantom Stock Units - Long Term Incentive Plan
|
Â
(4)
|
Â
(4)
|
Common Stock
|
12,259.731
|
$
(3)
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/01/2009 |
10/01/2017 |
Common Stock
|
18,000
|
$
40.21
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/01/2010 |
10/01/2018 |
Common Stock
|
30,000
|
$
28.79
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/01/2011 |
10/01/2019 |
Common Stock
|
30,000
|
$
24.87
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/01/2012(5)
|
10/01/2020 |
Common Stock
|
30,000
|
$
30.54
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/07/2013(5)
|
10/07/2021 |
Common Stock
|
25,000
|
$
28.54
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/05/2014(5)
|
10/05/2022 |
Common Stock
|
32,200
|
$
27.85
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
The number of underlying securities is based on the stock fund balance on July 10, 2013. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consiting of 96% company stock and 4% money market fund. The stock account balance reflected in this report is based on a July 10, 2013 stock fund price of $36.04 per share. |
(2) |
The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes dividend equivalent units that settle 100% in cash and relate to unvested restricted stock awards. |
(3) |
Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. |
(4) |
The phantom stock units were accrued under the Johnson Controls Long-Term Incentive Plan and are to be settled 100% in cash upon the reporting person's termination or retirement from the company. |
(5) |
Fifty percent of the options vest after two years and the remaining 50% vests after three years. |