4//SEC Filing
Kreh Susan M 4
Accession 0001393657-10-000008
CIK 0000053669other
Filed
Oct 4, 8:00 PM ET
Accepted
Oct 5, 5:04 PM ET
Size
17.9 KB
Accession
0001393657-10-000008
Insider Transaction Report
Form 4
Kreh Susan M
Vice Pres. & Corp. Controller
Transactions
- Award
Employee Stock Option (Right to Buy)
2010-10-01+35,000→ 35,000 totalExercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying)
Holdings
- 432.693(indirect: By 401(k))
Common Stock
- 45,000
Employee Stock Option (Right to Buy)
Exercise: $32.01From: 2009-03-21Exp: 2017-03-21→ Common Stock (45,000 underlying) - 47,000
Employee Stock Option (Right to Buy)
Exercise: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (47,000 underlying) - 12,352.36
Common Stock
- 9,571.118
Phantom Stock Units - Restricted Stock Plan
→ Common Stock (9,571.118 underlying) - 115.997
Phantom Stock Units - Restricted Stock Plan
→ Common Stock (115.997 underlying) - 36,000
Employee Stock Option (Right to Buy)
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (36,000 underlying) - 47,000
Employee Stock Option (Right to Buy)
Exercise: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (47,000 underlying)
Footnotes (9)
- [F1]Includes 6,500 shares of previously granted restricted stock which vests as follows: 3,250 on November 2, 2011, and 3,250 on November 2, 2013, subject to continuous employment with the issuer.
- [F2]The reporting person's holdings include 35.17 shares acquired under the issuer's dividend reinvestment and common stock purchase plan since the reporting person's last report. These shares were acquired pursuant to the employee stock purchase plan provisions of the dividend reinvestment and common stock purchase plan, which acquisitions are exempt from Section 16.
- [F3]The number of underlying securities is based on the stock fund balance on September 30, 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 a September 30, 2010, stock fund price of $30.50 per share.
- [F4]Fifty percent of the option vests after two years and the remaining fifty percent after three years.
- [F5]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F6]Includes 4,500 restricted stock units which vest on November 1, 2011, subject to continued employment. The phantom stock units and dividends relating to the units were awarded under the Johnson Controls Executive Deferred Restricted Stock Plan, and are to be settled 100% in cash, pending vesting, upon the reporting person's termination of employment with the issuer. Vested units may be transferred by the reporting person into an alternative investment account.
- [F7]Includes 40.862 phantom stock units acquired through the reinvestment of dividends on October 4, 2010 at $30.32 per phantom stock unit.
- [F8]The restricted stock units represent the reinvestment of dividends which are accruing under the Johnson Controls Deferred Restricted Stock Plan and are to be settled 100% in cash upon the vesting of the restricted stock grant to which they relate. Vested units may be transferred by the reporting person into an alternative investment account.
- [F9]Includes 28.246 phantom stock units acquired through the reinvestment of dividends on October 4, 2010 at $30.32 per phantom stock unit.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001393657
Filing Metadata
- Form type
- 4
- Filed
- Oct 4, 8:00 PM ET
- Accepted
- Oct 5, 5:04 PM ET
- Size
- 17.9 KB