4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001321504-07-000002
CIK 0000053669operating
Filed
Nov 4, 7:00 PM ET
Accepted
Nov 5, 6:00 PM ET
Size
17.4 KB
Accession
0001321504-07-000002
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Phantom Stock Units/Restricted Stock Grant
2007-11-01$42.07/sh+9,000$378,630→ 24,362.74 totalExercise: $0.00→ Common Stock (24,362.74 underlying)
Holdings
- 36,000
Stock Option
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying) - 193.083
Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (193.083 underlying) - 251.79(indirect: By Trust)
Common Stock
- 8,127.42
Phantom Stock Units/Long-Term Incentive Plan
→ Common Stock (8,127.42 underlying) - 72,000
Stock Option
Exercise: $22.56From: 2007-11-16Exp: 2015-11-16→ Common Stock (72,000 underlying) - 60,000
Stock Option
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (60,000 underlying)
Footnotes (12)
- [F1]The number of underlying securities is based on the stock fund balance on October 31, 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 31, 2007, stock fund price of $43.72 per share. This also includes 167.7862 shares acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007
- [F10]On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 48,000 additional option shares of common stock. The original grant price was $67.685.
- [F11]On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 40,000 additional option shares of common stock. The original grant price was $71.895.
- [F12]On October 2, 2007, the common stock of Johnson Controls split 3 for 1, resulting in the reporting person's ownership of 24,000 additional option shares. The original grant price was $120.63.
- [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 22.362 phantom stock units acquired through the reinvestment of dividends on October 2, 2007, at a price of $39.8667 per phantom stock unit. This number also includes 5,403.372 phantom stock units acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007.
- [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 .531 phantom stock units acquired through the reinvestment of dividends on October 2, 2007, at a price of $39.8667 per phantom stock unit. This number also includes 128.368 phantom stock units acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007.
- [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 42.273 phantom stock units acquired through the reinvestment of dividends on October 2, 2007, at a price of $39.8667 per phantom stock unit. This number also includes 10,213.642 phantom stock units acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007.
- [F8]Includes the award of 9,000 restricted stock that were granted under the Johnson Controls Restricted Stock Plan on November 1, 2007 at a price of $42.07 per restricted stock unit.
- [F9]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 typeoperating
IncorporatedWI
Related Parties
1- filerCIK 0000053669
Filing Metadata
- Form type
- 4
- Filed
- Nov 4, 7:00 PM ET
- Accepted
- Nov 5, 6:00 PM ET
- Size
- 17.4 KB