4//SEC Filing
Augustin Jeffrey G 4
Accession 0001321504-09-000002
CIK 0000053669other
Filed
Nov 2, 7:00 PM ET
Accepted
Nov 3, 11:37 AM ET
Size
19.0 KB
Accession
0001321504-09-000002
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Common Stock
2009-11-02$24.71/sh+6,500$160,615→ 6,500 total
Holdings
- 25,454.491
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (25,454.491 underlying) - 48,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (48,000 underlying) - 48,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (48,000 underlying) - 273.869(indirect: By Trust)
Common Stock
- 72,000
Employee Stock Option (Right to Buy)
Exercise: $22.56From: 2007-11-16Exp: 2015-11-16→ Common Stock (72,000 underlying) - 60,000
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (60,000 underlying) - 1,991.435
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (1,991.435 underlying) - 21,727.159
Phantom Stock Units/Long-Term Incentive Plan
→ Common Stock (21,727.159 underlying) - 36,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying)
Footnotes (7)
- [F1]The share balance consists of 6,500 shares of restricted stock granted on November 2, 2009, which vest as follows: 3,250 on November 2, 2011, and 3,250 on November 2, 2013, subject to continuous employment with the issuer.
- [F2]The number of underlying securities is based on the stock fund balance on October 30, 2009. 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 30, 2009, stock fund price of $23.92 per share.
- [F3]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The phantom stock units are being accrued under the Johnson Controls Retirement Restoration Plan. Shares of phantom stock are payable in cash following the reporting person's termination of employment with the issuer and may be transferred by the reporting person into an alternative investment account at any time.
- [F4]Includes 32.822 units acquired through ongoing employee payroll contributions in the Retirement Restoration Plan which mirrors the issuer's 401(k) plan.
- [F5]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. These phantom share units are being accrued under the Johnson Controls Long-Term Incentive Plan and are payable in cash following the reporting person's termination of employment with the issuer. The units may be transferred by the reporting person into an alternative investment account at any time.
- [F6]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The restricted stock units are being accrued under the Johnson Controls Restricted Stock Plan. The vested units will be settled 100% in cash following the reporting person's termination of employment with the issuer.
- [F7]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 0001321504
Filing Metadata
- Form type
- 4
- Filed
- Nov 2, 7:00 PM ET
- Accepted
- Nov 3, 11:37 AM ET
- Size
- 19.0 KB