4//SEC Filing
Augustin Jeffrey G 4
Accession 0001321504-11-000002
CIK 0000053669other
Filed
Nov 2, 8:00 PM ET
Accepted
Nov 3, 11:54 AM ET
Size
23.9 KB
Accession
0001321504-11-000002
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Disposition to Issuer
Common Stock
2011-11-02$31.75/sh−116.118$3,687→ 15,800 total - Exercise/Conversion
Common Stock
2011-11-02$31.75/sh+116.118$3,687→ 15,916.118 total - Exercise/Conversion
Phantom Stock Units/Restricted Stock
2011-11-02$31.75/sh−116.118$3,687→ 26,571.421 total→ Common Stock (116.118 underlying)
Holdings
- 3,305.955
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (3,305.955 underlying) - 72,000
Employee Stock Option (Right to Buy)
Exercise: $22.56From: 2007-11-16Exp: 2015-11-16→ Common Stock (72,000 underlying) - 31,549.685
Phantom Stock Units/Long-Term Incentive Plan
→ Common Stock (31,549.685 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) - 31,500
Employee Stock Option (Right to Buy)
Exercise: $28.54From: 2013-10-07Exp: 2021-10-07→ Common Stock (31,500 underlying) - 60,000
Employee Stock Option (Right to Buy)
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (60,000 underlying) - 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) - 279.4(indirect: By Trust)
Common Stock
Footnotes (8)
- [F1]Includes the following previously granted shares of restricted stock: 2,600 which vest on November 1, 2012, 2,050 which vest on October 7, 2013, 3,250 which vest on November 4, 2013, 2,600 which vest on November 3, 2014, and 2,050 which vest on October 7, 2015. 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 31, 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 31, 2011, stock fund price of $32.93 per share.
- [F3]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F4]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.
- [F5]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.
- [F6]The balance includes phantom stock units acquired through employee payroll contributions which are discretionary transactions and qualify for the Rule 16a-3(f)(1)(i)(B) reporting exemption. This plan mirrors the company's 401(k) Plan.
- [F7]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.
- [F8]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
- Nov 2, 8:00 PM ET
- Accepted
- Nov 3, 11:54 AM ET
- Size
- 23.9 KB