4//SEC Filing
Kreh Susan M 4
Accession 0001393657-10-000009
CIK 0000053669other
Filed
Nov 1, 8:00 PM ET
Accepted
Nov 2, 11:23 AM ET
Size
16.3 KB
Accession
0001393657-10-000009
Insider Transaction Report
Form 4
Kreh Susan M
Vice Pres. & Corp. Controller
Transactions
- Award
Common Stock
2010-11-01+5,200→ 17,594.027 total
Holdings
- 9,687.115
Phantom Stock Units - Restricted Stock Plan
→ Common Stock (9,687.115 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: $28.79From: 2010-10-01Exp: 2018-10-01→ Common Stock (47,000 underlying) - 35,000
Employee Stock Option (Right to Buy)
Exercise: $30.54From: 2012-10-01Exp: 2020-10-01→ Common Stock (35,000 underlying) - 432.142(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: $24.87From: 2011-10-01Exp: 2019-10-01→ Common Stock (47,000 underlying)
Footnotes (7)
- [F1]Includes a grant of 5,200 shares on November 1, 2010, of which 2,600 vest on November 1, 2012, and 2,600 vest on November 1, 2014, and 6,500 shares of previously granted restricted stock, of which 3,250 vest on November 2, 2011, and 3,250 vest on November 2, 2013. All vesting is subject to continuous employment with the issuer.
- [F2]The reporting person's holdings include 16.508 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. Also includes 25.16 shares acquired via dividend reinvestment on October 4, 2010 at prices ranging from $30.20 to $30.2876 per share.
- [F3]The number of underlying securities is based on the stock fund balance on October 29, 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 October 29, 2010, stock fund price of $35.12 per share.
- [F4]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- [F5]The restricted stock units were awarded under the Johnson Controls Executive Deferred Compensation Plan. The units are to be settled 100% in cash upon the reporting person's termination from the issuer, subject to vesting provisions.
- [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 termination from the issuer and may be transferred into an alternative investment account.
- [F7]Fifty percent of the option vests after two years and the remaining fifty percent after three years.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001393657
Filing Metadata
- Form type
- 4
- Filed
- Nov 1, 8:00 PM ET
- Accepted
- Nov 2, 11:23 AM ET
- Size
- 16.3 KB