4//SEC Filing
Augustin Jeffrey G 4
Accession 0001321504-11-000001
CIK 0000053669other
Filed
Oct 10, 8:00 PM ET
Accepted
Oct 11, 9:46 AM ET
Size
23.4 KB
Accession
0001321504-11-000001
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Common Stock
2011-10-07+4,100→ 15,800 total - Award
Employee Stock Option (Right to Buy)
2011-10-07+31,500→ 31,500 totalExercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (31,500 underlying)
Holdings
- 31,549.685
Phantom Stock Units/Long-Term Incentive Plan
→ Common Stock (31,549.685 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) - 281.547(indirect: By Trust)
Common Stock
- 3,213.032
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (3,213.032 underlying) - 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) - 26,687.539
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (26,687.539 underlying) - 35,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying)
Footnotes (10)
- [F1]Includes 4,100 shares of restricted stock granted on October 7, 2011, of which 2,050 vest on October 7, 2013, and 2,050 vest on October 7, 2015, and the following previously granted shares of restricted stock: 3,250 which vest on November 2, 2011, 2,600 which vest on November 1, 2012, 3,250 which vest on November 2, 2013, and 2,600 which vest on November 1, 2014. All vesting is subject to continuous employment with the issuer.
- [F10]Includes 662.80 phantom stock units acquired through the reinvestment of dividends on January 4, April 5, July 5, and October 4, 2011, at prices ranging from $27.56 to $42.25 per phantom stock unit.
- [F2]The number of underlying securities is based on the stock fund balance on October 4, 2011. 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 4, 2011, stock fund price of $27.56 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 52.25 phantom stock units acquired through the reinvestment of dividends on January 4, April 5, July 5, and October 4 2011, at prices ranging from $27.56 to $42.25 per phantom stock unit, and a company match of 328.114 phantom stock units on February 17, 2011.
- [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 525.905 phantom stock units acquired through the reinvestment of dividends on January 4, April 5, July 5, and October 4, 2011, at prices ranging from $27.56 to $42.25 per phantom stock unit.
- [F8]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F9]The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes (a) vested, deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon termination and may be transferred into an alternative investment account, (b) unvested, deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon termination, and (c) dividends which relate to unvested, non-deferred restricted stock awards, which will be settled 100% in cash upon vesting.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001321504
Filing Metadata
- Form type
- 4
- Filed
- Oct 10, 8:00 PM ET
- Accepted
- Oct 11, 9:46 AM ET
- Size
- 23.4 KB