4//SEC Filing
Augustin Jeffrey G 4
Accession 0001321504-11-000003
CIK 0000053669other
Filed
Dec 12, 7:00 PM ET
Accepted
Dec 13, 11:25 AM ET
Size
21.5 KB
Accession
0001321504-11-000003
Insider Transaction Report
Form 4
Augustin Jeffrey G
Vice President
Transactions
- Award
Phantom Stock Units/Long-Term Incentive Plan
2011-12-09$31.95/sh+7,480.438$239,000→ 39,030.124 total→ Common Stock (7,480.438 underlying)
Holdings
- 48,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (48,000 underlying) - 35,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying) - 15,800
Common Stock
- 3,937.155
Phantom Stock Units/Retirement Restoration Plan
→ Common Stock (3,937.155 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) - 26,571.421
Phantom Stock Units/Restricted Stock
→ Common Stock (26,571.421 underlying) - 279.916(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) - 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)
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 November 30, 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 a November 30, 2011, stock fund price of $31.48 per share.
- [F3]Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F4]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]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]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, and (b) dividends which relate to unvested, non-deferred restricted stock awards, which will be settled 100% in cash upon vesting.
- [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
- Dec 12, 7:00 PM ET
- Accepted
- Dec 13, 11:25 AM ET
- Size
- 21.5 KB