4//SEC Filing
Augustin Jeffrey G 4
Accession 0001321504-09-000003
CIK 0000053669other
Filed
Dec 13, 7:00 PM ET
Accepted
Dec 14, 3:29 PM ET
Size
19.2 KB
Accession
0001321504-09-000003
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Phantom Stock Units/Long-Term Incentive Plan
2009-12-11$27.37/sh+4,165.144$114,000→ 25,892.303 total→ Common Stock (4,165.144 underlying)
Holdings
- 2,094.061
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (2,094.061 underlying) - 25,454.491
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (25,454.491 underlying) - 6,500
Common Stock
- 272.199(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) - 48,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (48,000 underlying) - 60,000
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (60,000 underlying) - 36,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying) - 48,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (48,000 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 December 11, 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 a December 11, 2009, stock fund price of $27.37 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. Units 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]The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company. Phantom stock units accrue in the plan through monthly payroll deductions once the limit has been reached in the reporting person's 401(k) plan. The Retirement Restoration Plan mirrors the issuer's broad-based 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
- Dec 13, 7:00 PM ET
- Accepted
- Dec 14, 3:29 PM ET
- Size
- 19.2 KB