Document:

exv10w39

EXHIBIT 10.39

CONFIDENTIAL SEVERANCE AND GENERAL RELEASE AGREEMENT

THIS CONFIDENTIAL SEVERANCE AND GENERAL RELEASE AGREEMENT (this “Agreement”) is entered into
as of the last date set forth on the signature page hereto, and is made effective as of August 21,
2009 (the “Effective Date”), by and between Thomas O. Morton (“Employee”) and Mindspeed
Technologies, Inc., a Delaware corporation (“Mindspeed”).

RECITALS

WHEREAS, Employee is currently employed by Mindspeed as Senior Vice President, Human Resources;

WHEREAS, Employee and Mindspeed wish to arrange for Employee’s separation from employment with
Mindspeed on mutually agreeable terms and conditions as set forth in this Agreement;

ACCORDINGLY, the parties agree as follows:

1. Termination. Employee will cease active full-time employment with Mindspeed on the
Effective Date. Following the completion of the Salary Continuation Period (as defined in
Paragraph 3 below) and the Unpaid LOA Period (as defined in Paragraph 3 below), and effective
immediately upon the close of business on the Termination Date (as defined in Paragraph 4 below),
Employee and Mindspeed will terminate their employment relationship altogether. Employee and
Mindspeed expressly acknowledge and agree that, although the termination of Employee’s employment
will not take ultimate effect until the Termination Date, the final decision to terminate such
employment has already been made and communicated as of the date of execution of this Agreement.
Employee acknowledges and agrees that he has no expectation of active employment with Mindspeed
beyond the Effective Date, or of any employment relationship with Mindspeed beyond the Termination
Date, and that he will not apply for, seek or accept any employment relationship with Mindspeed
other than what is expressly agreed to in this Agreement.

2. Resignation. Employee hereby resigns his position as an officer of Mindspeed and
as a director or officer in each of Mindspeed’s subsidiaries for which he holds an office or
offices, such resignation to be effective upon the Effective Date.

 

 

 

3. Settlement Sum. In consideration of Employee’s representations and releases in
this Agreement, Mindspeed will provide Employee with salary continuation pay at
Employee’s current salary level of $4,230.769 per week (less applicable withholdings) for a
period of twelve (12) months beginning on August 22, 2009 and continuing through August 21, 2010
(the “Salary Continuation Period”). The salary continuation payments will be made in accordance
with Mindspeed’s bi-weekly payroll schedule. Employee will not accrue additional vacation hours
after the Effective Date. During the Salary Continuation Period, Mindspeed will continue to (a)
pay the premiums for Employee’s coverage under Mindspeed’s group medical, dental, and vision
insurance plans, which coverage may be provided under COBRA at Mindspeed’s election, subject to
Employee’s payment of any employee contributions that would have applied if Employee had remained
an officer of Mindspeed; and (b) pay the costs of Employee’s annual executive physical examination,
health club membership, two (2) airline clubs, and financial counseling benefits, to the same
extent as if Employee had remained an officer of Mindspeed during such period. Employee’s coverage
under Mindspeed’s life, long-term disability, group personal excess liability and any supplemental
insurance plans and Employee’s participation in Mindspeed’s 401(k) plan end on the Effective Date.
Following the conclusion of the Salary Continuation Period, Employee will be paid all accrued but
unused vacation in a lump sum and placed on unpaid leave for a period of twelve (12) months
beginning on August 22, 2010 and continuing through August 21, 2011 (the “Unpaid LOA Period”),
during which time he will not accrue further pay, vacation or other compensation. During the
Unpaid LOA Period, Mindspeed will continue to (a) pay the premiums for Employee’s continued
coverage under Mindspeed’s group medical, dental, and vision insurance plans, which coverage may be
provided under COBRA at Mindspeed’s election subject to Employee’s payment of any employee
contributions that would have applied if Employee had remained an officer of Mindspeed; and (b) pay
the costs of Employee’s annual executive physical, health club membership, two (2) airline clubs,
and financial counseling benefits to the same extent as if Employee had remained an officer of
Mindspeed during such period. Additionally, Mindspeed will provide Employee with outplacement
assistance for a period of six (6) months following the Effective Date at Mindspeed’s expense
through Right Management Consultants, or a similar firm, at the selected firm’s office location.
Employee will retain his Mindspeed provided BlackBerry mobile device and laptop computer and
associated licensed Microsoft software. The foregoing payments and benefits will be referred to
collectively as the “Settlement Sum,” and the parties hereto agree that the Settlement Sum provides
Employee with full recompense for any and all claims for lost or unpaid wages, benefits, damages,
interest and any other claim related to Employee’s employment or to the separation of such
employment.

4. Stock Plans. Upon the termination of Employee’s employment from Mindspeed at the
close of business on the last day of the Unpaid LOA Period (the “Termination Date”), all stock
options for Mindspeed stock that have been granted to Employee under any of Mindspeed’s or any
other company’s stock plans and which are not vested as of the Termination Date, shall immediately
expire and shall not be exercisable under any circumstances. Any such options that are vested as
of the Termination Date shall be exercisable for the period of time specified in the terms of the
option following the Termination Date and shall expire and shall not be exercisable at the end of
such period if they are not exercised within such period. All
unearned restricted stock as of the Termination Date, together with any dividends thereon,
shall be forfeited, and Employee shall have no further rights of any kind or nature with respect
thereto. Employee’s Mindspeed stock option and restricted stock awards outstanding as of the
Effective Date are detailed in the attached Schedule A.

 

2

 

5. No Section 16 Reporting. Employee understands and agrees that, as of the Effective
Date, Employee shall no longer be a Section 16 officer of Mindspeed and all such reporting by
Mindspeed on Employee’s behalf shall cease.

6. Mindspeed Proprietary Information. Employee represents, understands and agrees
that he is subject to that certain Employment Agreement, dated August 19, 2009, with Mindspeed, as
successor in interests to Conexant Systems, Inc., regarding Mindspeed’s proprietary information,
and that the provisions which survive his employment are enforceable and remain in full force and
effect. Employee represents, as a material inducement to Mindspeed to enter into this Agreement,
that he has not and will not disclose, use or misappropriate any confidential, proprietary or trade
secret information of Mindspeed to the press, customers, analysts, investors or competitors. This
representation includes, but is not limited to, product roadmaps, customer lists, design wins and
employee lists. Mindspeed acknowledges that Employee’s employment with any of its competitors, in
and of itself, will not constitute disclosure. Mindspeed further acknowledges that the act of
meeting with a Mindspeed customer, in and of itself, will not constitute disclosure, use or
misappropriation of Mindspeed proprietary information.

7. Termination of Agreement. That certain change of control Employment Agreement,
dated as of December 15, 2008 by and between Mindspeed and Employee, shall be terminated, and no
longer in effect as of the Effective Date.

8. Non-Solicit. Employee acknowledges that, because of his position at Mindspeed, he
has access to Mindspeed’s business strategies, information regarding customers and employees, and
other valuable proprietary information and trade secrets, and that misuse or disclosure of such
proprietary information and trade secrets would be extremely difficult to detect or prove.
Accordingly, Employee agrees that the following restrictions are necessary to protect Mindspeed’s
trade secrets. Employee agrees that, during the Salary Continuation Period, the Unpaid LOA and for
a period of twelve (12) months after the Termination Date, Employee shall not directly or
indirectly solicit, induce, recruit or encourage any person employed by Mindspeed to terminate his
or her employment.

9. No Further Claims. Employee agrees that he is not entitled to receive, and will
not claim, any additional right, benefit, payment or compensation, including but not limited to,
any claim for wages, benefits, damages, interest, attorneys fees and costs, other than what is
expressly set forth in Paragraph 3 above, and hereby expressly waives any right to additional
rights, benefits, payments or compensation. Employee further acknowledges that
Mindspeed makes this Agreement without any admission of liability, and agrees, to the extent
permissible by law, that he will not defame, disparage or make false or deceptive allegations

 

3

 

against Mindspeed, whether to the press, employees, customers, investors or otherwise. Any breach
by Employee of this Paragraph 9 shall constitute cause for termination, and Employee agrees that
his employment shall be terminated immediately upon such breach. In the case of such termination,
Employee shall not receive any unpaid remainder of the Settlement Sum (including the benefits
described as part of the Settlement Sum in Paragraph 3 above). Such termination shall also be the
equivalent of the “Termination Date” for purposes of Paragraph 4 above. For their part, the
specific Mindspeed executives aware of this Agreement, Raouf Y. Halim and Bret W. Johnsen, agree
not to defame, disparage or make false or deceptive allegations against Employee, whether to the
press, employees, customers, investors or otherwise, or furthermore to knowingly allow other
Mindspeed employees to defame or disparage Employee. Employee should direct all prospective
employment inquiries or requests for employment references to either Mr. Halim or Mr. Johnsen.

10. Release. In exchange for the Settlement Sum, Employee agrees to, and by signing
this Agreement does, waive and release all claims (known and unknown) which he might otherwise have
had against Mindspeed and each of its past and present employees, officers, directors, agents,
representatives, attorneys, insurers, related entities, assigns, successors, and predecessors of
Mindspeed, and all persons acting by, through, under or in concert with any of them (collectively,
the “Releasees”), from any and all charges, complaints, claims, liabilities, obligations, promises,
agreements, controversies, damages, actions, causes of action, suits, rights, demands, costs,
losses, debts and expenses (including back wages, and attorneys’ fees and costs actually incurred)
of any nature whatsoever, known or unknown, suspected or unsuspected, including, but not limited
to, rights arising out of alleged violations of any contract, express or implied (including but not
limited to any contract of employment, partnership, independent contractor, fiduciary, special or
confidential relationship); any covenant of good faith and fair dealing (express or implied); any
tort, including fraud and deceit, negligent misrepresentation, promise without intent to perform,
conversion, breach of fiduciary duty, defamation, libel, slander, invasion of privacy, negligence,
intentional or negligent infliction of emotional distress, malicious prosecution, abuse of process,
intentional or negligent interference with prospective economic advantage and conspiracy; any
“wrongful discharge” and “constructive discharge” claims; any claims relating to any breach of
public policy; any violations or breaches of corporate by-laws; any legal restrictions on
Mindspeed’s right to terminate employees or take other employment actions; or any federal, state,
local, municipal or other governmental statute, regulation or ordinance, including, without
limitation, Title VII of the Civil Rights Act of 1964, the California Fair Employment and Housing
Act, the Americans with Disabilities Act, and the Age Discrimination in Employment Act
(collectively “Claim” or “Claims”) arising prior to the execution of this Agreement. This
Agreement does not waive (and the definition of “Claims” does not include) claims for
workers’ compensation or unemployment insurance, claims for reimbursement under Labor Code Section
2802 or claims that may not be waived as a matter of state or federal law. In addition, this
Agreement does not limit Employee’s right to file a charge
or complaint with any state or federal agency or to participate or cooperate in such a matter,
although Employee waives and relinquishes all rights to any monetary relief related to any such
matter.

 

4

 

11. Waiver. Employee expressly waives and relinquishes all rights and benefits
afforded by Section 1542 of the Civil Code of the State of California, and does so understanding
and acknowledging the significance of such specific waiver of Section 1542. Section 1542 of the
Civil Code of the State of California states as follows:

“A general release does not extend to claims which the creditor does
not know or suspect to exist in his or her favor at the time of
executing the release, which if known by him or her must have
materially affected his or her settlement with the debtor.”

Thus, notwithstanding the provisions of Section 1542, and for the purpose of implementing a full
and complete release and discharge of all Releasees, Employee expressly acknowledges that this
Agreement is intended to include in its effect, without limitation, all Claims which Employee does
not know or suspect to exist in his favor against the Releasees, or any of them, at the time of
execution hereof, and that this Agreement contemplates the extinguishment of any such Claim or
Claims. If Employee hereafter institutes any legal action against the Releasees, and each of them
(except to enforce the specific provisions of this Agreement or for any future cause of action
unrelated to Employee’s employment with Mindspeed or its predecessor companies), Mindspeed shall be
entitled to payment from Employee of all costs, expenses and attorney’s fees incurred as a result
of such legal action.

12. No Other Promises. This Agreement contains all of the terms, promises,
representations and understandings made between the parties. Employee agrees that no promises,
representations or inducements have been made to him which caused him to sign this Agreement other
than those which are expressly set forth above herein.

13. Confidentiality. Employee represents and agrees that, with the exception of any
civil judicial action where disclosure of this Agreement is ordered by the court, or where
disclosure is compelled by law or government audit, he has and will keep the nature, terms and
existence of this Agreement and the Settlement Sum strictly confidential, and that he has not and
will not disclose, discuss or reveal any information concerning the nature, terms and existence of
this Agreement and the Settlement Sum to any other person, entity or organization, except that
Employee may disclose this information to his legal counsel, spouse and professional accountant.
Employee is to advise Mindspeed of any request or demand for disclosure in any civil judicial
action immediately upon learning of it so Mindspeed will be afforded a full opportunity to
intervene, to object and to take any other action necessary to protect the confidentiality of this
Agreement and the Settlement Sum. Employee acknowledges and agrees that Mindspeed is
permitted to disclose this Agreement and the Settlement Sum in order to comply with any Securities
and Exchange Commission or stock exchange disclosure requirements.

 

5

 

14. Representations. Employee acknowledges that he has been advised to carefully
consider all of the provisions in this Agreement before signing it. Employee represents,
acknowledges and agrees that he has fully discussed all aspects of this Agreement with his
attorneys to the full extent he so desired; that Employee has carefully read and fully understands
all of the provisions of this Agreement; that Employee has taken as much time as he needs for full
consideration of this Agreement; that Employee fully understands that this Agreement releases all
of his claims, both known and unknown, against the Releasees; that Employee is voluntarily entering
into this Agreement; and that Employee has the capacity to enter into this Agreement.

15. Age Discrimination. Employee understands that he has a period of twenty-one (21)
days to review and consider his release of his claims of age discrimination under the Age
Discrimination in Employment Act (“ADEA”) before signing this Agreement. Employee further
understands that he may use as much or as little of this twenty-one (21) day period as he wishes to
prior to signing this Agreement. Employee also understands that after he signs this Agreement he
is given seven (7) days within which to revoke the portion of this Agreement releasing his claims
under the ADEA and Mindspeed encourages Employee to seek the advice of counsel concerning his
revocation rights. Such revocation, to be valid, must be in writing and received by Mindspeed
within the seven (7) day revocation period.

16. No Other Representations. Employee represents and acknowledges that in executing
this Agreement, he does not rely and has not relied upon any representation or statement not set
forth in this Agreement made by Mindspeed, the Releasees, or by any of their agents,
representatives or attorneys with regard to the subject matter, basis or effect of this Agreement.

17. No Admission of Liability. This Agreement shall not in any way be construed as an
admission by Mindspeed that it has acted wrongfully with respect to Employee or any other person,
or that Employee or any other person has any rights whatsoever against Mindspeed. Mindspeed
specifically disclaims any liability to or wrongful acts against Employee or any other person, on
the part of itself, its agents or its employees, past or present.

18. Cooperation. Employee acknowledges that he presently possesses information
regarding the current status and anticipated activity relating to Human Resources matters and
projects upon which Employee has been working, including but not limited to board and proxy
statement matters. Employee agrees that he will cooperate fully with Mindspeed to transition such
information and matters in a thoughtful and professional manner. Employee
agrees that such cooperation will include making himself available on a mutually reasonably
convenient schedule for consultation by Mindspeed regarding Human Resources matters, and, upon
request by Mindspeed, providing truthful declarations, statements, depositions, or other testimony
in connection with such matters.

 

6

 

19. Compliance with Laws. Employee represents that he has fulfilled his ethical,
legal and professional responsibilities to Mindspeed, that he has not at any time known or been
complicit in any financial reporting certification or board action taken in anything other than the
best interest of Mindspeed stockholders, and that he is not aware of any liabilities, obligations,
noncompliance with legal requirements (including, but not limited to, noncompliance with The
Sarbanes-Oxley Act or any applicable securities regulations) or exposure of any kind on the part of
Mindspeed that he has not, as of the date of this Agreement, brought to the attention of Mindspeed.

20. Severability. The provisions of this Agreement are severable, and if any part of
it is found to be unenforceable, the other sections shall remain fully valid and enforceable. This
Agreement shall survive the termination of any arrangements contained herein.

21. Governing Law. This Agreement is made and entered into in the State of
California, and shall in all respects be interpreted, enforced and governed by and under the laws
of the State of California.

22. Entire Agreement. This Agreement sets forth the entire agreement between the
parties hereto, and fully supersedes any and all prior agreements or understandings between the
parties hereto pertaining to the subject matter of this Agreement. This Agreement may not be
modified, waived, rescinded or amended in any manner, except by a writing executed by all parties
to this Agreement which clearly and specifically modifies, waives, rescinds or amends this
Agreement. This Agreement is intended to comply with the provisions of Internal Revenue Code
Section 409A (“Code Section 409A”) and, accordingly, the parties agree to amend this Agreement in
good faith to the extent necessary to make this Agreement comply with Code Section 409A; provided,
however, that Mindspeed makes no representation that the amounts payable under this Agreement will
comply with Code Section 409A and makes no undertaking to prevent Code Section 409A from applying
to the amounts payable under this Agreement or to mitigate its effects on any payments made under
this Agreement.

23. Successors and Assigns. This Agreement shall be binding upon Employee and upon
his respective heirs, administrators, representatives, executors, successors and assigns, and shall
inure to the benefit of Mindspeed and the other Releasees and their related entities. This
Agreement shall be binding on any successor entity to Mindspeed.

24. No Assignment of Claims. Employee represents and warrants that he has
not heretofore assigned or otherwise transferred or subrogated, or purported to assign,
transfer or subrogate, to any person or entity, any Claim or portion thereof, or interest therein
he may have against the Releasees, and he agrees to indemnify, defend and hold the Releasees
harmless from and against any and all liability, loss, demands, claims, damages, costs, expenses or
attorneys’ fees incurred by the Releasees as the result of any person or entity asserting any such
right, assignment, transfer or subrogation.

 

7

 

25. Execution in Counterparts. This Agreement may be executed in one or more
counterparts, any one of which shall be deemed to be the original even if the others are not
produced.

26. Joint Preparation of this Agreement. Each party has had the opportunity to
revise, comment upon and redraft this Agreement. Accordingly, it is agreed that no rule of
construction shall apply against any party or in favor of any party. This Agreement shall be
construed as if the parties jointly prepared this Agreement, and any uncertainty or ambiguity shall
not be interpreted against any one party and in favor of the other.

27. Further Actions. The parties hereto, without further consideration, shall execute
and deliver such other documents and take such other actions as may be necessary to achieve the
objectives of this Agreement. Employee further agrees to cooperate fully in the transition of
matters under his responsibility, and to make himself reasonably available, as necessary, to answer
questions or assist in such transitions.

PLEASE READ CAREFULLY. THIS CONFIDENTIAL SEVERANCE AND GENERAL RELEASE AGREEMENT INCLUDES A
RELEASE OF ALL KNOWN AND UNKNOWN CLAIMS.

	 	 	 	 	 
	 	 	 
	Dated: August 21, 2009 	By:  	/s/ Thomas O. Morton
 	 
	 	 	Thomas O. Morton 	 
	 	 	 	 
	 
	 	MINDSPEED TECHNOLOGIES, INC.

 	 
	Dated: August 26, 2009 	By:  	/s/ Raouf Y. Halim
 	 
	 	 	Raouf Y. Halim 	 
	 	 	Chief Executive Officer 	 

 

8

 

	 	 	 	 	 

SCHEDULE A

See attached.

 

9

 

Optionee
Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant
Name

Participant
ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product
Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date
— Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date
— Type	 	 	Cancelled	 
	
MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0000008471 / 2003-21	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
01/04/1999
	 	 	01/04/2009	 	 	 	2,817	 	 	$	9.473	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	01/04/2009 — C	 	 	 	2,817	 
	SO / ISO / MSPOP / MINDSPEED STOCK OPTION PL / 0000008472 / 2003-22	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	01/04/1999
	 	 	01/03/2009	 	 	 	757	 	 	$	9.473	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	01/03/2009 — C	 	 	 	757	 
	
SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0000028733 / 2003-27	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
10/27/2000
	 	 	10/27/2008	 	 	 	296	 	 	$	22.0295	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/27/2008 — C	 	 	 	296	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0000033472 / 2003-50	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	03/30/2001
	 	 	03/30/2009	 	 	 	2,472	 	 	$	9.001	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	03/30/2009 — C	 	 	 	2,472	 

Fidelity Stock Plan Services LLC

Page 1 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All
Participants Alphabetically (Active & Inactive)

Participant
Name

Participant
ID # / Employee ID # / Employee Status / Location Code /
Locale / Division / Section 16B / Insider / Term Code / Term Date

Product
Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date
— Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	
MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0000016046 / 2003-27	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
04/03/2002
	 	 	4/03/2010	 	 	 	1,287	 	 	$	11.793	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 — C	 	 	 	1,287	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0000022654 / 2003-27	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	04/03/2002
	 	 	04/03/2010	 	 	 	965	 	 	$	11.793	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 — C	 	 	 	965	 
	
SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 25842230 / 2003-27	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
11/05/2002
	 	 	11/05/2010	 	 	 	1,072	 	 	$	5.015	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 — C	 	 	 	268	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 — C	 	 	 	268	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 — C	 	 	 	268	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 — C	 	 	 	268	 

Fidelity Stock Plan Services LLC

Page 2 of 13

 

Optionee Detail Report
08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant
ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product
Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date - Type	 	 	Cancelled	 
	
MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 9859000244 / 2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
08/15/2003
	 	 	08/15/2011	 	 	 	4,900	 	 	$	13.25	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009      — C	 	 	 	1,225	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009      — C	 	 	 	1,225	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009      — C	 	 	 	1,225	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009      — C	 	 	 	1,225	 

Fidelity Stock Plan Services LLC

Page 3 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / FLD0000288 / 2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	07/30/2004 
	 	 	       07/30/2012	 	 	 	2,500	 	 	$	16.15	 	 	 		 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	53	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 

Fidelity Stock Plan Services LLC

Page 4 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # I Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS 0.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	627	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	52	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0504200000212 / 2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	01/28/2005
	 	 	01/28/2013	 	 	 	3,000	 	 	 	$	11.40	 	 	 	 	 	         	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	 	 	 	 	0	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	1,500	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	1,500	 

Fidelity Stock Plan Services LLC

Page 5 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0705100000182 /
2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	02/02/2007
	 	 	02/02/2015	 	 	 	2,500	 	 	$	10.95	 	 	 	 	 	 	 	        	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	313	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	312	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	313	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	312	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - F	 	 	 	313	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - F	 	 	 	312	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - C	 	 	 	312	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2009 - F	 	 	 	313	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0727800000001 /
2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	10/02/2007 
	 	 	10/02/2015	 	 	 	5,000	 	 	$	8.55	 	 	 		       	 	 	 	 	 	 	 	 	 	 	5,000	 	 	 	1,250	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/02/2009	 	 	 	      1,250	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/02/2010 	 	 	 	     1,250	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/02/2011 	 	 	 	     1,250	 	 	 	 	 	 	 	 	 

Fidelity Stock Plan Services LLC

Page 6 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0915400000178 /2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	04/30/2009
	 	 	04/30/2017	 	 	 	20,000	 	 	$	2.12	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	20,000	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	04/30/2010	 	 	 	6,666	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	07/30/2010	 	 	 	1,666	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/30/2010	 	 	 	1,667	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	01/30/2011	 	 	 	1,667	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	04/30/2011	 	 	 	1,667	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	07/30/2011	 	 	 	1,666	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/30/2011	 	 	 	1,667	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	01/30/2012	 	 	 	1,667	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	04/30/2012	 	 	 	1,667	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0915300000650 /2003-27	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	05/15/2009
	 	 	04/03/2010	 	 	 	275	 	 	$	1.70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	275	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	11/15/2009	 	 	 	275	 	 	 	 	 	 	 	 	 

Fidelity Stock Plan Services LLC

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Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0915300000651 / 2003-27	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	05/15/2009
	 	 	04/03/2010	 	 	 	367	 	 	$	1.70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	367	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	11/15/2009	 	 	 	367	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0915300000652 / 2003-27	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	05/15/2009
	 	 	11/05/2010	 	 	 	389	 	 	$	1.70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	389	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2010	 	 	 	389	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0915300000653 / 2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	05/15/2009
	 	 	08/15/2011	 	 	 	1,088	 	 	$	1.70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	1,088	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2010	 	 	 	544	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2011	 	 	 	544	 	 	 	 	 	 	 	 	 

Fidelity Stock Plan Services LLC

Page 8 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD) 

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID/ Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16:Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0915300000654 /2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	05/15/2009
	 	 	07/30/2012	 	 	 	666	 	 	$	1.70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	666	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2010	 	 	 	222	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2011	 	 	 	222	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2012	 	 	 	222	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0915300000655 / 2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	05/15/2009
	 	 	01/28/2013	 	 	 	857	 	 	$	1.70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	857	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2010	 	 	 	285	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2011	 	 	 	286	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2012	 	 	 	286	 	 	 	 	 	 	 	 	 
	SO / NQ / MSPOP / MINDSPEED STOCK OPTION PL / 0915300000656 / 2003LT-70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	05/15/2009
	 	 	02/02/2015	 	 	 	1,250	 	 	$	1.70	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	1,250	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2010	 	 	 	416	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2011	 	 	 	417	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	05/15/2012	 	 	 	417	 	 	 	 	 	 	 	 	 

Fidelity Stock Plan Services LLC

Page 9 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID / Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS 0.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	RA / RSA / MSPRS / MINDSPEED RESTRICTED STK / 0529000000009 / 2003RS-75	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	10/07/2005
	 	 	11/10/2006	 	 	 	2,500	 	 	$	0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	RA / RSA / MSPRS / MINDSPEED RESTRICTED STK / 0529000000470 / 2003RS-76	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	10/07/2005
	 	 	08/08/2007	 	 	 	833	 	 	$	0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	RA / RSA / MSPRS / MINDSPEED RESTRICTED STK / 0604100000213 / 2003RS-74	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	01/31/2006
	 	 	01/31/2010	 	 	 	1,670	 	 	$	0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	209	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/31/2009	 	 	 	104	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	01/31/2010	 	 	 	105	 	 	 	 	 	 	 	 	 
	RA / RSA / MSPRS / MINDSPEED RESTRICTED STK / 0635300000034 / 2003RS-74	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	11/16/2006
	 	 	 	 	 	 	2,500	 	 	$	0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

Fidelity Stock Plan Services LLC

Page 10 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID / Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	RA / RSA / MSPRS / MINDSPEED RESTRICTED STK / 0635300000170 / 2003RS-75	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	11/16/2006
	 	 	 	 	 	 	1,250	 	 	 	$0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	11/15/2007 — F	 	 	 	38	 
	RA / RSA / MSPRS / MINDSPEED RESTRICTED STK / 0727800000002 / 2003RS-74	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	10/02/2007
	 	 	 	 	 	 	5,000	 	 	 	$0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	3,750	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/31/2009	 	 	 	1,250	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/31/2010	 	 	 	1,250	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/31/2011	 	 	 	1,250	 	 	 	 	 	 	 	 	 
	RA / RSA / MSPRS / MINDSPEED RESTRICTED STK / 0732300000010 / 2003RS-75	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	11/15/2007
	 	 	 	 	 	 	5,000	 	 	 	$0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

Fidelity Stock Plan Services LLC

Page 11 of 13

 

Optionee Detail Report

08/20/2009

MINDSPEED (MSPD)

All Participants Alphabetically (Active & Inactive)

Participant Name

Participant ID # / Employee ID # / Employee Status / Location Code / Locale / Division / Section 16B / Insider / Term Code / Term Date

Product Type / Grant Type / Plan ID / Plan Name / Client Grant ID / Product ID

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Grant	 	Expiry	 	 	Options	 	 	Grant	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Options	 	 	Shares	 	 	 	 	 	 	 	 	 	 	 	 	 
	Date	 	Date	 	 	Granted	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Outstanding	 	 	Exercisable	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Exercise	 	 	Options	 	 	Exercise	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Exercised	 	 	Price	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Vesting	 	 	Shares	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date	 	 	Vested	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Cancel	 	 	Shares	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Date — Type	 	 	Cancelled	 
	MORTON, THOMAS O.	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	554728515 / 400165 / Active / 645 / Domestic / / Section 16: Yes / Insider: Yes / /	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	RA / RSA / MSPRS / MINDSPEED RESTRICTED STK / 0807700000305 / 2003RS-74	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	03/07/2008
	 	 	 	 	 	 	6,000	 	 	$	0.00	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	1,500	 	 	 	0	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10/31/2009	 	 	 	750	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	01/31/2010	 	 	 	750	 	 	 	 	 	 	 	 	 

Fidelity Stock Plan Services LLC

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Optionee Detail Report

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Grand Totals:

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	Options	 	Shares
	Client Id	 	Options Granted	 	Outstanding	 	Exercisable
	 
	MSPD
	 	 	77,211	 	 	 	35,351	 	 	 	1,250	 

Fidelity Stock Plan Services LLC

Page 13 of 13exv10wc

Exhibit 10.C

JOHNSON CONTROLS, INC.

DEFERRED COMPENSATION PLAN FOR CERTAIN DIRECTORS

ARTICLE 1.

PURPOSE AND DURATION

          Section 1.1.  Purpose. The purpose of the Johnson Controls, Inc. Deferred
Compensation Plan for Certain Directors (the “Plan”) is to advance the Company’s growth and
success, and to advance the interests of its shareholders, by attracting and retaining
well-qualified directors upon whose judgment the Company is largely dependent for the successful
conduct of its operations.

          Section 1.2.  Duration. The Plan was originally effective on September 25, 1991.
The Plan was most recently amended and restated effective November 18, 2009. The Plan shall remain
in effect until terminated pursuant to the provisions of Article 9.

ARTICLE 2.

DEFINITIONS AND CONSTRUCTION

          Section 2.1.  Definitions. Wherever used in the Plan, the following terms shall
have the meanings set forth below and, where the meaning is intended, the initial letter of the
word is capitalized:

          (a) “Account” means the record keeping account or accounts maintained to record the interest
of each Participant under the Plan. An Account is established for record keeping purposes only and
not to reflect the physical segregation of assets on the Participant’s behalf, and may consist of
such subaccounts or balances as the Administrator may determine to be necessary or appropriate.

          (b) “Act” means the Securities Act of 1933, as interpreted by regulations and rules issued
pursuant thereto, all as amended and in effect from time to time. Any reference to a specific
provision of the Act shall be deemed to include reference to any successor provision thereto.

          (c) “Administrator” means the Employee Benefits Policy Committee of the Company.

          (d) “Affiliate” means each entity that is required to be included in the Company’s controlled
group of corporations within the meaning of Code Section 414(b), or that is under common control
with the Company within the meaning of Code Section 414(c); provided that for purposes of
determining when a Participant has incurred a Separation from Service, the phrase “at least 50
percent” shall be used in place of the phrase “at least 80 percent” in each place that phrase
appears in the regulations issued thereunder.

          (e) “Beneficiary” means the person(s) or entity(ies) designated by a Participant to be his
beneficiary for purposes of this Plan as provided in Section 9.2.

          (f) “Board” means the Board of Directors of the Company.

 

 

          (g) “Change of Control” has the meaning ascribed to such term in Section 8.2.

          (h) “Code” means the Internal Revenue Code of 1986, as interpreted by regulations and rulings
issued pursuant thereto, all as amended and in effect from time to time. Any reference to a
specific provision of the Code shall be deemed to include reference to any successor provision
thereto.

          (i) “Committee” means the Corporate Governance Committee of the Board, which shall consist of
not less than two members of the Board, each of whom shall be a non-employee director within the
meaning of Rule 16b-3 of the Exchange Act.

          (j) “Company” means Johnson Controls, Inc. and its successors as provided in Section 9.7.

          (k) “Deferral” means the amount credited, in accordance with a Participant’s election, to the
Participant’s Account in lieu of the payment in cash or Shares.

          (l) “Exchange Act” means the Securities Exchange Act of 1934, as interpreted by regulations
and rules issued pursuant thereto, all as amended and in effect from time to time. Any reference
to a specific provision of the Exchange Act shall be deemed to include reference to any successor
provision thereto.

          (m) “Fair Market Value” means with respect to a Share, except as otherwise provided herein,
the closing sales price of a Share on the New York Stock Exchange as of 4:00 p.m. EST on the date
in question (or the immediately preceding trading day if the date in question is not a trading
day), and with respect to any other property, such value as is determined by the Administrator.

          (n) “Inimical Conduct” means any act or omission that is inimical to the best interests of the
Company or any Affiliate or other subsidiary of the Company, as determined by the Committee in its
sole discretion, including but not limited to: (1) divulging at any time any confidential
information, technical or otherwise, obtained by a Participant in his capacity as a director, (2)
taking any steps or doing anything which would damage or negatively reflect on the reputation of
the Company, an Affiliate or any subsidiary, or (3) refusing to furnish such advisory or consulting
services as the Company may reasonably request and as the Participant’s health may permit, provided
that such services shall be rendered as an independent contractor and not as an employee and that
the Company shall pay reasonable compensation for such services, as well as reimbursement for
expenses incurred in connection therewith.

          (o) “Investment Options” means the investment options offered under the Johnson Controls
Savings and Investment (401k) Plan (excluding the Company stock fund) or any successor plan
thereto, the Share Unit Account, and any other alternatives made available by the Administrator,
which shall be used for the purpose of measuring hypothetical investment experience attributable to
a Participant’s Account.

          (p) “Outside Director” means a member of the Board who is not an officer or employee of the
Company or a subsidiary.

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          (q) “Participant” means an Outside Director who has elected to make Deferrals pursuant to
Article 4 of the Plan. Where the context so requires, a Participant also means a former director
entitled to a benefit hereunder.

          (r) “Separation from Service” means a Participant’s cessation of service as a Board member,
for any reason, provided the cessation of service is a good-faith and complete termination of the
Participant’s relationship with the Company and its Affiliates, within the meaning of Code Section
409A. If, at the time of the Participant’s service as a Board member ends, the Participant begins
providing services to the Company or an Affiliate as an employee, the Participant shall not incur a
Separation from Service under the terms of this Plan until the Participant has a separation from
service from the Company or to an Affiliate as an employee within the meaning of Code Section 409A.

          (s) “Share” means a share of common stock of the Company.

          (t) “Share Unit Account” means the account described in Article 7, which is deemed invested in
Shares.

          (u) “Share Units” means the hypothetical Shares that are credited to the Share Unit Accounts
in accordance with Article 7.

          (v) “Valuation Date” means each day when the United States financial markets are open for
business, as of which the Administrator will determine the value of each Account and will make
allocations to Accounts.

          Section 2.2.  Construction. Wherever any words are used in the masculine, they
shall be construed as though they were used in the feminine in all cases where they would so apply;
and wherever any words are use in the singular or the plural, they shall be construed as though
they were used in the plural or the singular, as the case may be, in all cases where they would so
apply. Titles of articles and sections are for general information only, and the Plan is not to be
construed by reference to such items.

          Section 2.3.  Severability. In the event any provision of the Plan is held
illegal or invalid for any reason, the illegality or invalidity shall not affect the remaining
parts of the Plan, and the Plan shall be construed and enforced as if the illegal or invalid
provision had not been included.

ARTICLE 3.

PARTICIPATION

          Section 3.1.  Eligibility. Each Outside Director shall be eligible to become a
Participant on the date the individual is first elected to become an Outside Director.

          Section 3.2.  Effective Date. Each Outside Director for whom an Account is
maintained under the Plan as of December 31, 2007, shall continue in participation hereunder on
January 1, 2008.

3

 

ARTICLE 4.

DEFERRED COMPENSATION

          Section 4.1.  Deferral Election. An Outside Director may elect, prior to the
beginning of each calendar year, to defer all or any part of his compensation as a director which
is paid by the Company (in cash or Shares) in the following year. As of the first day of the
calendar year for which the election is made, the Participant’s deferral election shall be
irrevocable except as provided in Section 4.2. A Participant who fails to complete a new election
for any calendar year shall be deemed to have elected to continue his most recent election in
effect without change.

          In the first year an Outside Director is elected to the Board, such individual may elect,
within the first thirty (30) days after being elected to the Board, to defer all or any portion of
his compensation as a director. Such election shall be effective with respect to compensation
payable to the Outside Director by the Company for services provided by the Outside Director after
the first day of the calendar quarter that follows the date of the Outside Director’s deferral
election. The election in effect as of the last day of the thirty (30) day election period shall
be irrevocable for the remainder of the calendar year to which it applies, except as provided in
Section 4.2.

          The Company shall credit any compensation deferred pursuant to a valid election to the
Participant’s Account at the time such compensation would have otherwise been paid to the
Participant (whether in cash or Shares).

          Section 4.2.  Administration of Deferral Elections. All deferral elections must
be made in the form and manner and within such time periods as the Administrator prescribes in
order to be effective.

ARTICLE 5.  HYPOTHETICAL INVESTMENT OPTIONS

          Section 5.1.  Investment Election. Amounts credited to a Participant’s Account
shall reflect the investment experience of the Investment Options selected by the Participant;
provided that any deferral of Shares shall automatically be deemed invested in the Share Unit
Account. The Participant may make an initial investment election in whole increments of one percent
(1%) at the time the Participant elects to participate in the Plan. A Participant may also elect
to reallocate his or her Account, and may elect to allocate any future Deferrals, among the various
Investment Options in whole increments of one percent (1%) from time to time as prescribed by the
Administrator; provided that, prior to November 15, 2006, any deferral of Shares shall not be
eligible for re-allocation out of the Share Unit Account. Effective November 15, 2006, Share
deferrals may be re-allocated out of the Share Unit Account, subject to any restrictions on
re-allocation as may be imposed by the Company. Such investment elections shall remain in effect
until changed by the Participant. All investment elections shall become effective as soon as
practicable after receipt of such election by the Administrator or its designee, and must be made
in the form and manner and within such time periods as the Administrator prescribes in order to be
effective. In the absence of an effective election, with respect to Participants who make an
initial deferral election on or after October 1, 2006, the Participant’s Account shall be deemed
invested in the default fund specified for the Johnson Controls Inc.

4

 

Savings and Investment (401k) Plan (or any successor plan thereto). For Participants whose initial
deferral election was made prior to October 1, 2006, the default fund is the Share Unit Account.

          Deferrals will be deemed invested in an Investment Option as of the date on which the
Deferrals would have otherwise been paid to the Participant.

          On each Valuation Date, the Administrator (or its delegate) shall credit the deemed investment
experience with respect to the selected Investment Options to each Participant’s Account.
Notwithstanding anything herein to the contrary, the Company retains the right to allocate actual
amounts hereunder without regard to a Participant’s request.

          Section 5.2.  Securities Law Restrictions. Notwithstanding anything to the
contrary herein, all elections under Article 5 or 6 by a Participant who is subject to Section 16
of the Exchange Act are subject to review by the Administrator prior to implementation. In
accordance with Section 9.5, the Administrator may restrict additional transactions, rescind
transactions, or impose other rules and procedures, to the extent deemed desirable by the
Administrator in order to comply with the Exchange Act, including, without limitation, application
of the review and approval provisions of this Section 5.2 to Participants who are not subject to
Section 16 of the Exchange Act.

          Section 5.3.  Accounts are For Record Keeping Purposes Only. Plan Accounts and
the record keeping procedures described herein serve solely as a device for determining the amount
of benefits accumulated by a Participant under the Plan, and shall not constitute or imply an
obligation on the part of the Company to fund such benefits.

ARTICLE 6.

DISTRIBUTION

          Section 6.1.  General. A Participant, at the time he makes an initial Deferral
election under Article 4 of the Plan, shall elect the form of distribution with respect to his
Account. Such election shall be made in such form and manner as the Administrator may prescribe,
and shall be irrevocable. The election shall specify whether distributions shall be made in a
single lump sum or from two (2) to ten (10) annual installments. In the absence of a distribution
election, payment shall be made in ten (10) annual installments.

          Section 6.2.  Time of Distribution. Upon a Participant’s Separation from Service
for any reason, the Participant, or his Beneficiary in the event of his death, shall be entitled to
payment of the amount accumulated in such Participant’s Account.

          Section 6.3.  Manner of Distribution. The Participant’s Account shall be paid in
cash in the following manner:

          (a) Lump Sum. If payment is to be made in a lump sum, payment shall be made in the
first calendar quarter following the calendar quarter in which the Participant’s Separation from
Service occurs. The lump sum payment shall equal the balance of the Participant’s Account as of
the Valuation Date immediately preceding the distribution date.

5

 

          (b) Installments. If payment is to be made in annual installments, the first annual
payment shall be made in the first calendar quarter following the calendar quarter in which the
Participant’s Separation from Service occurs. The amount of the first annual payment shall equal
the value of 1/10th (or 1/9th, 1/8th, 1/7th, etc.
depending on the number of installments elected) of the balance of the Participant’s Account as of
the Valuation Date immediately preceding the distribution date.

          All subsequent annual payments shall be made in the first calendar quarter of each subsequent
calendar year, and shall be in an amount equal to the value of 1/9th (or
1/8th, 1/7th, 1/6th, etc. depending on the number of installments
elected) of the balance of the Participant’s Account as of the Valuation Date immediately preceding
the distribution date. The final annual installment payment shall equal the then remaining
balance of such Account as of the Valuation Date preceding such final payment date.

          Notwithstanding the foregoing provisions, if the balance of a Participant’s Account as of the
Valuation Date immediately preceding a distribution date is $50,000 or less, then the entire
remaining balance of the Participant’s Account shall be paid in a single lump sum on such
distribution date.

          Section 6.4.  Forfeiture of Distributions. If a Participant engages in Inimical
Conduct prior to the distribution of the balance of his Account, the remaining balance of the
Participant’s Account shall be forfeited as of the date the Committee determines the Participant
has engaged in Inimical Conduct. If the Participant has begun receiving payments of his Account,
the Committee may suspend those payments (without liability for interest thereon) pending its
determination of whether the Participant has engaged in Inimical Conduct.

          Section 6.5.  Distribution of Remaining Account Following Participant’s Death. In
the event of the Participant’s death prior to receiving all payments due under this Article 6, the
balance of the Participant’s Account shall be paid to the Participant’s Beneficiary in a lump sum
in the first calendar quarter or the third calendar quarter, whichever first occurs after the
Participant’s death; provided that if the Participant dies prior to November 19, 2010, the death
benefit shall be paid according to the prior provisions of the Plan. Notwithstanding the
foregoing, in lieu of such lump sum death benefit, a Participant who has an installment payment
election in effect may, prior to his or her termination of service as an Outside Director, elect to
have any remaining installment payments continue to his or her Beneficiary in the event the
Participant dies after beginning to receive such installment payments, provided that such election
shall be given effect only if filed at least twelve (12) months prior to the date of the
Participant’s death.

          Section 6.6.  Tax Withholding. The Company shall have the right to deduct from
any deferral or payment made hereunder, or from any other amount due a Participant, the amount of
cash and/or Fair Market Value of Shares sufficient to satisfy the Company’s or Affiliate’s foreign,
federal, state or local income tax withholding obligations with respect to such deferral (or
vesting thereof) or payment. In addition, if prior to the date of distribution of any amount
hereunder, the Federal Insurance Contributions Act (FICA) tax imposed under Code Sections 3101,
3121(a) and 3121(v)(2), where applicable, becomes due, the Participant’s Account balance shall be
reduced by the amount needed to pay the Participant’s portion of such

6

 

tax, plus an
amount equal to the withholding taxes due under federal, state or local law resulting from the
payment of such FICA tax, and an additional amount to pay the additional income tax at source on
wages attributable to the pyramiding of the Code Section 3401 wages and taxes, but no greater than
the aggregate of the FICA tax amount and the income tax withholding related to such FICA tax
amount.

          Section 6.7.  Offset. The Company shall have the right to offset from any amount
payable hereunder any amount that the Participant owes to the Company or to any Affiliate without
the consent of the Participant (or his Beneficiary, in the event of the Participant’s death).

          Section 6.8.  Additional Payment Provisions.

	 	(a) Acceleration of Payment. Notwithstanding the foregoing:
	 
	 	(1)	 	If an amount deferred under this Plan is required to be
included in income under Code Section 409A prior to the date such amount is
actually distributed, a Participant shall receive a distribution, in a lump sum
within 90 days after the Plan fails to meet the requirements of Code Section
409A, of the amount required to be included in the Participant’s income as a
result of such failure.
	 
	 	(2)	 	If an amount under the Plan is required to be immediately
distributed in a lump sum under a domestic relations order within the meaning
of Code Section 414(p)(1)(B), it may be distributed according to the terms of
such order, provided the Participant holds the Administrator harmless with
respect to such distribution. The Plan shall not distribute amounts required
to be distributed under a domestic relations order other than in the limited
circumstance specifically stated herein.
	 
	 	(b) Delay in Payment. Notwithstanding the foregoing:
	 
	 	(1)	 	If a distribution required under the terms of this Plan would
jeopardize the ability of the Company to continue as a going concern, the
Company shall not be required to make such distribution. Rather, the
distribution shall be delayed until the first date that making the distribution
does not jeopardize the ability of the Company as a going concern. Any
distribution delayed under this provision shall be treated as made on the date
specified under the terms of this Plan.
	 
	 	(2)	 	If the distribution will violate the terms of Section 16(b) of
the Exchange Act or other Federal securities laws, or any other applicable law,
then the distribution shall be delayed until the earliest date on which making
the distribution will not violate such law.

7

 

ARTICLE 7.

RULES WITH RESPECT TO SHARE UNITS

          Section 7.1.  Valuation of Share Unit Account. When any amounts are to be
allocated to a Share Unit Account (whether in the form of Deferrals or amounts that are deemed
re-allocated from another Investment Option), such amount shall be converted to whole and
fractional Share Units, with fractional units calculated to three decimal places, by dividing the
amount to be allocated by the Fair Market Value of a Share on the effective date of such
allocation. If any dividends or other distributions are paid on Shares while a Participant has
Share Units credited to his Account, such Participant shall be credited with a dividend award equal
to the amount of the cash dividend paid or Fair Market Value of other property distributed on one
Share, multiplied by the number of Share Units credited to his Share Unit Account on the date the
dividend is declared. The dividend award shall be converted into additional Share Units as
provided above using the Fair Market Value of a Share on the date the dividend is paid or
distributed. Any other provision of this Plan to the contrary notwithstanding, if a dividend is
paid on Shares in the form of a right or rights to purchase shares of capital stock of the Company
or any entity acquiring the Company, no additional Share Units shall be credited to the
Participant’s Share Unit Account with respect to such dividend, but each Share Unit credited to a
Participant’s Share Unit Account at the time such dividend is paid, and each Share Unit thereafter
credited to the Participant’s Share Unit Account at a time when such rights are attached to Shares,
shall thereafter be valued as of any point in time on the basis of the aggregate of the then Fair
Market Value of one Share plus the then Fair Market Value of such right or rights then attached to
one Share.

          Section 7.2.  Transactions Affecting Common Stock. In the event of any merger,
share exchange, reorganization, consolidation, recapitalization, stock dividend, stock split or
other change in corporate structure of the Company affecting Shares, the Committee may make
appropriate equitable adjustments with respect to the Share Units credited to the Share Unit
Accounts of each Participant, including without limitation, adjusting the date as of which such
units are valued and/or distributed, as the Committee determines is necessary or desirable to
prevent the dilution or enlargement of the benefits intended to be provided under the Plan.

          Section 7.3.  No Shareholder Rights With Respect to Share Units. Participants
shall have no rights as a stockholder pertaining to Share Units credited to their Accounts. No
Participant or Beneficiary shall have any right to receive a distribution of Company stock under
this Plan. All distributions from the Participant’s Share Unit Account are made in cash.

ARTICLE 8.

SPECIAL RULES APPLICABLE IN THE EVENT OF A

CHANGE OF CONTROL OF THE COMPANY

          Section 8.1.  Acceleration of Payment of Accounts. Notwithstanding any other
provision of this Plan, within 30 days after a Change of Control, each Participant (or any
Beneficiary thereof entitled to receive payment hereunder), including Participants receiving
installment payments under the Plan, shall be entitled to receive a lump sum payment in cash of

8

 

all amounts accumulated in such Participant’s Account. Such payment shall be made as soon as
practicable (but not more than ninety (90) days) following the Change of Control.

          In determining the amount accumulated in a Participant’s Share Unit Account, each Share Unit
shall have a value equal to the higher of (a) the highest reported sales price, regular way, of a
share of the Company’s common stock on the Composite Tape for New York Stock Exchange Listed Stocks
(the “Composite Tape”) during the sixty (60)-day period prior to the date of the Change of Control
of the Company and (b) if the Change of Control of the Company is the result of a transaction or
series of transactions described in Section 8.2(a), the highest price per Share of the Company paid
in such transaction or series of transactions.

          Section 8.2.  Definition of a Change of Control. A Change of Control means any of
the following events, provided that each such event would constitute a change of control within the
meaning of Code Section 409A:

          (a) The acquisition, other than from the Company, by any individual, entity or group of
beneficial ownership (within the meaning of Rule 13d-3 promulgated under the Exchange Act),
including in connection with a merger, consolidation or reorganization, of more than either:

	 	(1)	 	Fifty percent (50%) of the then outstanding shares of common
stock of the Company (the “Outstanding Company Common Stock”) or
	 
	 	(2)	 	Thirty-five percent (35%) of the combined voting power of the
then outstanding voting securities of the Company entitled to vote generally in
the election of directors (the “Company Voting Securities”),

provided, however, that any acquisition by (x) the Company or any of its subsidiaries, or any
employee benefit plan (or related trust) sponsored or maintained by the Company or any of its
subsidiaries or (y) any corporation with respect to which, following such acquisition, more than
sixty percent (60%) of, respectively, the then outstanding shares of common stock of such
corporation and the combined voting power of the then outstanding voting securities of such
corporation entitled to vote generally in the election of directors is then beneficially owned,
directly or indirectly, by all or substantially all of the individuals and entities who were the
beneficial owners, respectively, of the Outstanding Company Common Stock and Company Voting
Securities immediately prior to such acquisition in substantially the same proportion as their
ownership, immediately prior to such acquisition, of the Outstanding Company Common Stock and
Company Voting Securities, as the case may be, shall not constitute a Change in Control of the
Company; or

          (b) Individuals who, as of January 1, 2005, constitute the Board (the “Incumbent Board”) cease
for any reason to constitute at least a majority of the Board during any twelve (12)-month period,
provided that any individual becoming a director subsequent to January 1, 2005, whose election or
nomination for election by the Company’s shareholders was approved by a vote of at least a majority
of the directors then comprising the Incumbent Board, shall be considered as though such individual
were a member of the Incumbent Board; or

9

 

          (c) A complete liquidation or dissolution of the Company or sale or other disposition of all
or substantially all of the assets of the Company other than to a corporation with respect to
which, following such sale or disposition, more than sixty percent (60%) of, respectively, the
then outstanding shares of common stock and the combined voting power of the then outstanding
voting securities entitled to vote generally in the election of directors is then owned
beneficially, directly or indirectly, by all or substantially all of the individuals and entities
who were the beneficial owners, respectively, of the Outstanding Company Common Stock and Company
Voting Securities immediately prior to such sale or disposition in substantially the same
proportion as their ownership of the Outstanding Company Common Stock and Company Voting
Securities, as the case may be, immediately prior to such sale or disposition. For purposes
hereof, “a sale or other disposition of all or substantially all of the assets of the Company” will
not be deemed to have occurred if the sale involves assets having a total gross fair market value
of less than forty percent (40%) of the total gross fair market value of all assets of the Company
immediately prior to the acquisition. For this purpose, “gross fair market value” means the value
of the assets without regard to any liabilities associated with such assets.

          For purposes of this Section 8.2, persons will not be considered to be acting as a “group”
solely because they purchase or own stock of the Company at the same time, or as a result of the
same public offering. However, persons will be considered to be acting as a “group” if they are
owners of a corporation that enters into a merger, consolidation, purchase or acquisition of stock,
or similar business transaction with the Company. If a person, including an entity, owns stock in
the Company and any other corporation that enters into a merger, consolidation, purchase or
acquisition of stock, or similar transaction, such shareholder is considered to be acting as a
group with other shareholders in such corporation only with respect to the ownership in that
corporation prior to the transaction giving rise to the change and not with respect to the
ownership interest in the Company.

ARTICLE 9.

GENERAL PROVISIONS

          Section 9.1.  Administration.

          (a) General. The Committee shall have overall discretionary authority with respect to
administration of the Plan; provided that the Administrator shall have responsibility for the
general operation and daily administration of the Plan as specified herein. If at any time the
Committee shall not be in existence or not be composed of members of the Board who qualify as
“non-employee directors”, then the Board shall administer the Plan (with the assistance of the
Administrator) and all references herein to the Committee shall be deemed to include the Board.
The Committee or Administrator may, in their discretion, delegate any or all of their respective
authority and responsibility; provided that the Committee shall not delegate authority and
responsibility with respect to non-ministerial functions that relate to the participation by
Participants who are subject to Section 16 of the Exchange Act at the time any such delegated
authority or responsibility is exercised. To the extent of any such delegation, any references
herein to the Committee or Administrator, as applicable, shall be deemed references to such
delegate. Interpretation of the Plan shall be within the sole discretion of the Committee or the
Administrator with respect to their respective duties hereunder. If any delegate of the Committee
or the Administrator shall also be a Participant or Beneficiary, any determinations

10

 

affecting the delegate’s participation in the Plan shall be made by the Committee or
Administrator, as applicable.

          (b) Authority and Responsibility. In addition to the authority specifically provided
herein, the Committee and the Administrator shall have the discretionary authority to take any
action or make any determination deemed necessary for the proper administration of the Plan with
respect to the respective duties of each under the Plan, including but not limited to: (1)
prescribe rules and regulations for the administration of the Plan; (2) prescribe forms for use
with respect to the Plan; (3) interpret and apply all of the Plan’s provisions, reconcile
inconsistencies or supply omissions in the Plan’s terms; and (4) make appropriate determinations,
including factual determinations, and calculations. Any action taken by the Committee shall be
controlling over any contrary action of the Administrator. The Committee and the Administrator may
delegate their ministerial duties to third parties and to the extent of such delegation, references
to the Committee or Administrator hereunder shall mean such delegates, if any.

          (c) Decisions Binding. The Committee’s and the Administrator’s determinations shall
be final and binding on all parties with an interest hereunder.

          (d) Procedures for Administration. The Committee’s determinations must be made by not
less than a majority of its members present at the meeting (in person or otherwise) at which a
quorum is present, or by written majority consent, which sets forth the action, is signed by the
members of the Committee and filed with the minutes for proceedings of the Committee. A majority
of the entire Committee shall constitute a quorum for the transaction of business. The
Administrator’s determinations shall be made in accordance with such procedures it establishes.

          (e) Indemnification. Service on the Committee or with the Administrator shall
constitute service as a director or officer of the Company so that the Committee and Administrator
members shall be entitled to indemnification, limitation of liability and reimbursement of expenses
with respect to their Committee or Administrator services to the same extent that they are entitled
under the Company’s By-laws and Wisconsin law for their services as directors or officers of the
Company.

          Section 9.2.  Designation of Beneficiary. Each Participant may designate a
Beneficiary in such form and manner and within such time periods as the Administrator may
prescribe. A Participant can change his beneficiary designation at any time, provided that each
beneficiary designation shall revoke the most recent designation, and the last designation received
by the Administrator while the Participant is alive shall be given effect. If a Participant
designates a Beneficiary without providing in the designation that the Beneficiary must be living
at the time of distribution, the designation shall vest in the Beneficiary all of the distribution
payable after the Participant’s death, and any distributions remaining upon the Beneficiary’s death
shall be made to the Beneficiary’s estate. If there is no valid beneficiary designation in effect
at the time of the Participant’s death, in the event the Beneficiary does not survive the
Participant, or in the event that the beneficiary designation provides that the Beneficiary must be
living at the time of each distribution and such designated Beneficiary does not survive to a
distribution date, the Participant’s estate will be deemed the Beneficiary and will be entitled to
receive payment. If a Participant designates his spouse as a Beneficiary, such beneficiary

11

 

designation automatically shall become null and void on the date the Administrator receives notice
of the Participant’s divorce or legal separation.

          Section 9.3.  Participant Rights Unsecured.

          (a) Unsecured Claim. The right of a Participant or his Beneficiary to receive a
distribution hereunder shall be an unsecured claim, and neither the Participant nor any Beneficiary
shall have any rights in or against any amount credited to his Account or any other specific assets
of the Company or a subsidiary. The right of a Participant or Beneficiary to the payment of
benefits under this Plan shall not be assigned, encumbered or transferred, except as permitted
under Section 6.5. The rights of a Participant hereunder are exercisable during the Participant’s
lifetime only by him or his guardian or legal representative.

          (b) Contractual Obligation. The Company may authorize the creation of a trust or
other arrangements to assist it in meeting the obligations created under the Plan, subject to the
restrictions on funding such trust or arrangement imposed by Code Sections 409A(b)(2) or (3).
However, any liability to any person with respect to the Plan shall be based solely upon any
contractual obligations that may be created pursuant to the Plan. No obligation of the Company
shall be deemed to be secured by any pledge of, or other encumbrance on, any property of the
Company or any subsidiary. Nothing contained in this Plan and no action taken pursuant to its
terms shall create or be construed to create a trust of any kind, or a fiduciary relationship
between the Company and any Participant or Beneficiary, or any other person.

          Section 9.4.  Amendment or Termination of the Plan.

          (a) Amendment. The Committee may at any time amend the Plan, including but not
limited to modifying the terms and conditions applicable to (or otherwise eliminating) Deferrals to
be made on or after the amendment date to the extent permitted by Code Section 409A; provided,
however, that no amendment may reduce or eliminate any Account balance accrued to the date of such
amendment (except as such Account balance may be reduced as a result of investment losses allocable
to such Account) without a Participant’s consent except as otherwise specifically provided herein;
and provided further that the Board must approve any amendment that expands the class of
individuals eligible for participation under the Plan, that materially increases the benefits
provided hereunder, or that is required to be approved by the Board by any applicable law or the
listing requirements of the national securities exchange upon which the Company’s common stock is
then traded. In addition, the Administrator may at any time amend the Plan to make administrative
changes and changes necessary to comply with applicable law.

          (b) Termination. The Committee may terminate the Plan in accordance with the
following provisions. Upon termination of the Plan, any deferral elections then in effect shall be
cancelled to the extent permitted by Code Section 409A. Upon termination of the Plan, the
Committee may authorize the payment of all amounts accrued under the Plan in an single sum payment
without regard to any distribution election then in effect, only in the following circumstances:

12

 

	 	(1)	 	The Plan is terminated within twelve (12) months of a corporate
dissolution taxed under Code Section 331, or with the approval of a bankruptcy
court pursuant to 11 U.S.C. §503(b)(1)(A). In such event, the single sum
payment must be distributed by the latest of: (A) the last day of the calendar
year in which the Plan termination occurs, (B) the first calendar year in which
the amount is no longer subject to a substantial risk of forfeiture, or (C) the
first calendar year in which payment is administratively practicable.
	 
	 	(2)	 	The Plan is terminated at any other time, provided that such
termination does not occur proximate to a downturn in the financial health of
the Company or an Affiliate, and all other plans required to be aggregated with
this Plan under Code Section 409A are also terminated and liquidated. In such
event, the single sum payment shall be paid no earlier than twelve (12) months
(and no later than twenty-four (24) months) after the date of the Plan’s
termination. Notwithstanding the foregoing, any payment that would otherwise
be paid during the twelve (12)-month period beginning on the Plan termination
date pursuant to the terms of the Plan shall be paid in accordance with such
terms. In addition, the Company or any Affiliate shall be prohibited from
adopting a similar arrangement within three (3) years following the date of the
Plan’s termination.

          Section 9.5.  Restrictions to Comply with Applicable Law. All transactions under
the Plan are intended to comply with all applicable conditions of Rule 16b-3 under the Exchange
Act. The Committee and the Administrator shall administer the Plan so that transactions under the
Plan will be exempt from or comply with Section 16 of the Exchange Act, and shall have the right to
restrict or rescind any transaction, or impose other rules and requirements, to the extent it deems
necessary or desirable for such exemption or compliance to be met.

          Section 9.6.  Administrative Expenses. Costs of establishing and administering
the Plan will be paid by the Company.

          Section 9.7.  Successors and Assigns. This Plan shall be binding upon and inure
to the benefit of the Company, its successors and assigns and the Participants and their heirs,
executors, administrators and legal representatives.

          Section 9.8.  Governing Law; Limitation on Actions; Dispute Resolution.

          (a) Governing Law. This Plan and the rights and obligations hereunder shall be
governed by and construed in accordance with the internal laws of the State of Wisconsin
(excluding any choice of law rules that may direct the application of the laws of another
jurisdiction).

          (b) Arbitration.

	 	(1)	 	Application. If a Participant or Beneficiary brings a
claim that relates to benefits under this Plan, regardless of the basis of the
claim, such claim

13

 

	 	 	 	shall be settled by final binding arbitration in accordance with the rules
of the American Arbitration Association (“AAA”) and judgment upon the award
rendered by the arbitrator may be entered in any court having jurisdiction
thereof.

	 	(2)	 	Initiation of Action. Arbitration must be initiated by
serving or mailing a written notice of the complaint to the other party.
Normally, such written notice should be provided to the other party within one
year (365 days) after the day the complaining party first knew or should have
known of the events giving rise to the complaint. However, this time frame may
be extended if the applicable statute of limitations provides for a longer
period of time. If the complaint is not properly submitted within the
appropriate time frame, all rights and claims that the complaining party has or
may have against the other party shall be waived and void. Any notice sent to
the Company shall be delivered to:
	 
	 	 	 	Office of General Counsel

Johnson Controls, Inc.

5757 North Green Bay Avenue

P.O. Box 591

Milwaukee, WI 53201-0591
	 
	 	 	 	The notice must identify and describe the nature of all complaints asserted
and the facts upon which such complaints are based. Notice will be deemed
given according to the date of any postmark or the date of time of any
personal delivery.
	 
	 	(3)	 	Compliance with Personnel Policies. Before proceeding
to arbitration on a complaint, the Participant or Beneficiary must initiate and
participate in any complaint resolution procedure identified in the Company’s
personnel policies. If the claimant has not initiated the complaint resolution
procedure before initiating arbitration on a complaint, the initiation of the
arbitration shall be deemed to begin the complaint resolution procedure. No
arbitration hearing shall be held on a complaint until any applicable Company
complaint resolution procedure has been completed.
	 
	 	(4)	 	Rules of Arbitration. All arbitration will be
conducted by a single arbitrator according to the Employment Dispute
Arbitration Rules of the AAA. The arbitrator will have authority to award any
remedy or relief that a court of competent jurisdiction could order or grant
including, without limitation, specific performance of any obligation created
under policy, the awarding of punitive damages, the issuance of any injunction,
costs and attorney’s fees to the extent permitted by law, or the imposition of
sanctions for abuse of the arbitration process. The arbitrator’s award must be
rendered in a writing that sets forth the essential findings and conclusions on
which the arbitrator’s award is based.

14

 

	 	(5)	 	Representation and Costs. Each party may be
represented in the arbitration by an attorney or other representative selected
by the party. The Company shall be responsible for its own costs, the AAA
filing fee and all other fees, costs and expenses of the arbitrator and AAA for
administering the arbitration. The claimant shall be responsible for his
attorney’s or representative’s fees, if any. However, if any party prevails on
a statutory claim which allows the prevailing party costs and/or attorneys’
fees, the arbitrator may award costs and reasonable attorneys’ fees as provided
by such statute.
	 
	 	(6)	 	Discovery; Location; Rules of Evidence. Discovery will
be allowed to the same extent afforded under the Federal Rules of Civil
Procedure. Arbitration will be held at a location selected by the Company. AAA
rules notwithstanding, the admissibility of evidence offered at the arbitration
shall be determined by the arbitrator who shall be the judge of its materiality
and relevance. Legal rules of evidence will not be controlling, and the
standard for admissibility of evidence will generally be whether it is the type
of information that responsible people rely upon in making important decisions.
	 
	 	(7)	 	Confidentiality. The existence, content or results of
any arbitration may not be disclosed by a party or arbitrator without the prior
written consent of both parties. Witnesses who are not a party to the
arbitration shall be excluded from the hearing except to testify.

15

 

ADDENDUM

SPECIAL TRANSITION RULES

Pursuant to the provisions of IRS Notice 2005-1:

	1.	 	The Company provided each Participant with an opportunity to file a new deferral election by
March 15, 2005, with respect to any director fees that had not yet been paid as of the date
the election was filed.

	2.	 	The Company provided each Participant with an opportunity to file a new distribution election
during calendar year 2005, with respect to his Account. The new distribution election allowed
the Participant to select a lump sum or up to ten (10) annual installments for his Account.

Pursuant to the provisions of IRS Notice 2006-79:

	1.	 	The Company provided each Participant with an opportunity to file a new distribution election
during calendar year 2006 and/or 2007. The new distribution election allowed the Participant
to select a lump sum or up to ten (10) annual installments for his Plan Account, and allowed
Participants to elect a whole or partial lump sum payment to be made either in 2007 (provided
the election was made by December 31, 2006 and was irrevocable with respect to the 2007
payment) or 2008 (provided the election was made by December 31, 2007). The last distribution
election received by the Administrator before January 1, 2008 is irrevocable with respect to
2008.

Pursuant to the provisions of IRS Notice 2007-86:

	1.	 	The Company will provide each Participant with an opportunity to file a new distribution
election during calendar year 2008. The new distribution election allows the Participant to
select a lump sum or up to ten (10) annual installments for his Plan Account, and allows
Participants to elect a whole or partial lump sum payment to be made in 2009 (provided the
election was made by December 31, 2008). The last distribution election received by the
Administrator before January 1, 2009 is irrevocable.

16

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