4//SEC Filing
Augustin Jeffrey G 4
Accession 0001321504-10-000005
CIK 0000053669other
Filed
Dec 12, 7:00 PM ET
Accepted
Dec 13, 3:37 PM ET
Size
21.3 KB
Accession
0001321504-10-000005
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Phantom Stock Units/Retirement Restoration Plan
2010-12-10$37.96/sh+306.639$11,640→ 2,756.592 total→ Common Stock (306.639 underlying) - Award
Phantom Stock Units/Long-Term Incentive Plan
2010-12-10$37.96/sh+4,689.146$178,000→ 31,023.78 total→ Common Stock (4,689.146 underlying)
Holdings
- 273.551(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) - 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: $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) - 11,700
Common Stock
- 26,024.738
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (26,024.738 underlying) - 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)
Footnotes (7)
- [F1]Includes 11,700 shares of restricted stock, of which 3,250 vest on November 2, 2011, 2,600 vest on November 1, 2012, 3,250 vest on November 2, 2013, and 2,600 vest on November 1, 2014. All vesting is subject to continuous employment with the issuer.
- [F2]The number of underlying securities is based on the stock fund balance on December 10, 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 December 10, 2010, stock fund price of $37.96 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
- Dec 12, 7:00 PM ET
- Accepted
- Dec 13, 3:37 PM ET
- Size
- 21.3 KB