4//SEC Filing
Augustin Jeffrey G 4
Accession 0001321504-10-000004
CIK 0000053669other
Filed
Oct 31, 8:00 PM ET
Accepted
Nov 1, 11:57 AM ET
Size
20.5 KB
Accession
0001321504-10-000004
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Common Stock
2010-11-01+5,200→ 11,700 total
Holdings
- 72,000
Employee Stock Option (Right to Buy)
Exercise: $22.56From: 2007-11-16Exp: 2015-11-16→ Common Stock (72,000 underlying) - 2,399.761
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (2,399.761 underlying) - 36,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying) - 60,000
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (60,000 underlying) - 26,334.634
Phantom Stock Units/Long-Term Incentive Plan
→ Common Stock (26,334.634 underlying) - 48,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (48,000 underlying) - 274.154(indirect: By Trust)
Common Stock
- 35,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying) - 26,024.738
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (26,024.738 underlying)
Footnotes (7)
- [F1]Includes a grant of 5,200 shares on November 1, 2010, of which 2,600 vest on November 1, 2012, and 2,600 vest on November 1, 2014, and 6,500 shares of previously granted restricted stock, of which 3,250 vest on November 2, 2011, and 3,250 vest on November 2, 2013. All vesting is subject to continuous employment with the issuer.
- [F2]The number of underlying securities is based on the stock fund balance on October 29, 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 an October 29, 2010, stock fund price of $35.12 per share.
- [F3]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.
- [F4]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.
- [F5]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F6]The phantom stock units representing dividends which relate to restricted stock awards that were not deferred will vest when the non-deferred restricted shares vest, and will be paid in cash to the reporting person. Phantom stock units representing dividends which relate to vested deferred awards are payable in cash following the reporting person's retirement from the issuer and may be transferred into an alternative investment account. Vesting continues when the reporting person retires from 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
- Oct 31, 8:00 PM ET
- Accepted
- Nov 1, 11:57 AM ET
- Size
- 20.5 KB