JOHNSON CONTROLS INC 4
4 · JOHNSON CONTROLS INC · Filed Oct 2, 2007
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Stock Option
2007-10-01+12,000→ 12,000 totalExercise: $120.63From: 2009-10-01Exp: 2017-10-01→ Common Stock (12,000 underlying)
Holdings
- 64.184
Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (64.184 underlying) - 24,000
Stock Option
Exercise: $67.69From: 2007-11-16Exp: 2015-11-16→ Common Stock (24,000 underlying) - 84.004(indirect: By Trust)
Common Stock
- 5,106.821
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (5,106.821 underlying) - 2,701.686
Phantom Stock Units/Long-Term Incentive Plan
→ Common Stock (2,701.686 underlying) - 20,000
Stock Option
Exercise: $71.89From: 2008-10-02Exp: 2016-10-02→ Common Stock (20,000 underlying)
Footnotes (8)
- [F1]The number of underlying securities is based on the stock fund balance on October 1, 2007. 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 October 1, 2007, stock fund price of $120.63 per share.
- [F2]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. These phantom share units were accrued in the Johnson Controls Long-Term Incentive Plan and are payable in cash following the reporting person's termination of employment with the company. The units may be transferred by the reporting person into an alternative investment account at any time.
- [F3]Includes 17.046 phantom stock units acquired through the reinvestment of dividends on January 3, March 30, and June 29, 2007, at prices ranging from $85.88 - $115.77 per phantom stock unit.
- [F4]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The phantom stock units were accrued under the Johnson Controls Equalization 401(k) Benefit Plan. Shares of phantom stock are payable in cash following the reporting person's termination of employment with the company and may be transferred by the reporting person into an alternative investment account at any time.
- [F5]Includes .65 phantom stock units acquired through the reinvestment of dividends on January 3, March 30, and June 29, 2007, at prices ranging from $85.88 - $115.77 per phantom stock unit.
- [F6]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The restricted stock units were accrued under the Johnson Controls Restricted Stock Plan. The units will be settled 100% in cash following the reporting person's termination of employment with the company, subject to a vesting schedule.
- [F7]Includes 51.64 phantom stock units acquired through the reinvestment of dividends on January 3, March 30, and June 29, 2007, at prices ranging from $85.88 - $115.77 per phantom stock unit.
- [F8]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.