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
|
4,729.591
|
$
(3)
|
D
|
Â
|
Phantom Stock Units - Annual Incentive Plan
|
Â
(4)
|
Â
(4)
|
Common Stock
|
947.332
|
$
(3)
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/01/2012 |
10/01/2020 |
Common Stock
|
12,000
|
$
30.54
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/07/2013 |
10/07/2021 |
Common Stock
|
12,500
|
$
28.54
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
10/05/2014(5)
|
10/05/2022 |
Common Stock
|
16,100
|
$
27.85
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
11/19/2015(5)
|
11/19/2023 |
Common Stock
|
14,455
|
$
48.37
|
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 February 4, 2014. 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 a February 4, 2014, stock fund price of $44.75 per share. |
(2) |
The phantom 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. |
(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 Annual Incentive Plan and are to be settled 100% in cash upon the reporting person's termination of employment with or retirement from the company. The units may be transferred into an alternative investment account at any time. |
(5) |
Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after the grant date. |