-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SlE3rpq6uO8dMFzLzvv1AnOu6Vw0PXWFpSQi1//djevtacCFPaVECcP9RDypQ+QE R6OVJ3iVN02WVdWkcKhcKg== 0001205040-10-000003.txt : 20101103 0001205040-10-000003.hdr.sgml : 20101103 20101103160605 ACCESSION NUMBER: 0001205040-10-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101101 FILED AS OF DATE: 20101103 DATE AS OF CHANGE: 20101103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OKARMA JEROME D CENTRAL INDEX KEY: 0001205040 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05097 FILM NUMBER: 101161477 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JOHNSON CONTROLS INC CENTRAL INDEX KEY: 0000053669 STANDARD INDUSTRIAL CLASSIFICATION: PUBLIC BUILDING AND RELATED FURNITURE [2531] IRS NUMBER: 390380010 STATE OF INCORPORATION: WI FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 5757 N GREEN BAY AVENUE STREET 2: P O BOX 591 CITY: MILWAUKEE STATE: WI ZIP: 53201 BUSINESS PHONE: 4145241200 MAIL ADDRESS: STREET 1: 5757 N GREEN BAY AVENUE STREET 2: P O BOX 591 CITY: MILWAUKEE STATE: WI ZIP: 53201 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2010-11-01 0000053669 JOHNSON CONTROLS INC JCI 0001205040 OKARMA JEROME D 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201-0591 0 1 0 0 VP, Secretary & Gen. Counsel Common Stock 2010-11-01 4 M 0 48000 13.4325 A 112657 D Common Stock 2010-11-01 4 S 0 48000 35.5203 D 64657 D Common Stock 37069.728 I By 401(k) Plan Trust Phantom Stock Units/Restricted Stock Grant 2010-11-01 4 A 0 14500 0 A 2012-11-01 2014-11-01 Common Stock 14500 34648.154 D Employee Stock Option (Right to Buy) 13.4325 2010-11-01 4 M 0 48000 0 D 2004-11-20 2012-11-20 Common Stock 48000 0 D Phantom Stock Units/Retirement Restoration Plan Common Stock 8320.19 8320.19 D Employee Stock Option (Right to Buy) 17.5167 2005-11-19 2013-11-19 Common Stock 48000 48000 D Employee Stock Option (Right to Buy) 20.5633 2006-11-17 2014-11-17 Common Stock 60000 60000 D Employee Stock Option (Right to Buy) 22.5617 2007-11-16 2015-11-16 Common Stock 150000 150000 D Employee Stock Option (Right to Buy) 23.965 2008-10-02 2016-10-02 Common Stock 120000 120000 D Employee Stock Option (Right to Buy) 40.21 2009-10-01 2017-10-01 Common Stock 75000 75000 D Employee Stock Option (Right to Buy) 28.79 2010-10-01 2018-10-01 Common Stock 110000 110000 D Employee Stock Option (Right to Buy) 24.87 2011-10-01 2019-10-01 Common Stock 110000 110000 D Employee Stock Option (Right to Buy) 30.54 2012-10-01 2020-10-01 Common Stock 87000 87000 D Includes 12,750 shares of restricted stock which vest on 11/1/2011. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $35.42 to $35.59, inclusive. The reporting person undertakes to provide to Johnson Controls, any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4. The number of underlying securities is based on the stock fund balance on October 29, 2010. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consisting of 96% company stock and 4% money market fund. The stock account balance reflected in this report is based on an October 29, 2010, stock fund price of $35.12 per share. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The phantom stock balance includes an award of 14,500 restricted stock units granted on November 1, 2010, which vest as follows: 7,250 on November 1, 2012, and 7,250 on November 1, 2014. The restricted stock units were awarded under the Johnson Controls Executive Deferred Compensation Plan. The units are to be settled 100% in cash upon the reporting person's termination from the issuer, subject to vesting provisions. The phantom stock units representing dividends which relate to restricted stock awards that were not deferred will vest when the non-deferred restricted shares vest, and will be paid in cash to the reporting person. Phantom stock units representing dividends which relate to vested deferred awards are payable in cash following the reporting person's retirement from the issuer and may be transferred into an alternative investment account. Vesting continues when the reporting person retires from the issuer. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. Shares of phantom stock are payable in cash following the reporting person's termination of employment with the company and may be transferred by the reporting person into an alternative investment account at any time. The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan. The units are payable in cash following the reporting person's retirement from the issuer, and may be transferred by the reporting person into an alternative investment account. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. Angela M. Blair, Attorney-in-Fact for Jerome D. Okarma 2010-11-03 -----END PRIVACY-ENHANCED MESSAGE-----