4//SEC Filing
Augustin Jeffrey G 4
Accession 0001321504-10-000003
CIK 0000053669other
Filed
Oct 4, 8:00 PM ET
Accepted
Oct 5, 5:10 PM ET
Size
20.9 KB
Accession
0001321504-10-000003
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Employee Stock Option (Right to Buy)
2010-10-01+35,000→ 35,000 totalExercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying)
Holdings
- 6,500
Common Stock
- 36,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying) - 2,345.76
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (2,345.76 underlying) - 26,024.738
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (26,024.738 underlying) - 48,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (48,000 underlying) - 274.489(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) - 26,334.634
Phantom Stock Units/Long-Term Incentive Plan
→ Common Stock (26,334.634 underlying) - 60,000
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (60,000 underlying)
Footnotes (9)
- [F1]Includes 6,500 shares of previously granted restricted stock which vests 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 September 30, 2010. 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 September 30, 2010, stock fund price of $30.50 per share.
- [F3]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
- [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 Retirement Restoration 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 39.592 phantom stock units acquired through the reinvestment of dividends on January 4, April 5, July 2, and October 4 2010, at prices ranging from $26.88 to $33.10 per phantom stock unit, and a company match of 105.743 phantom stock units on February 16, 2010.
- [F6]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.
- [F7]Includes 442.331 phantom stock units acquired through the reinvestment of dividends on January 4, April 5, July 2, and October 4, 2010, at prices ranging from $26.88 to $33.10 per phantom stock unit.
- [F8]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.
- [F9]Includes 532.718 phantom stock units acquired through the reinvestment of dividends on January 4, April 5, July 2, and October 4, 2010, at prices ranging from $26.88 to $33.10 per phantom stock unit.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001321504
Filing Metadata
- Form type
- 4
- Filed
- Oct 4, 8:00 PM ET
- Accepted
- Oct 5, 5:10 PM ET
- Size
- 20.9 KB