-----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, BCv03JFOQM14Xfbob8L3RszxdXXglGe8gxtPxAaU02HDDcjBGFW3l9qJOj0oJnas PiAnQ6YpPRGZVCCYNjzy2w== 0001012282-03-000003.txt : 20031121 0001012282-03-000003.hdr.sgml : 20031121 20031121155912 ACCESSION NUMBER: 0001012282-03-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031119 FILED AS OF DATE: 20031121 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: 4142281200 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROELL STEPHEN A CENTRAL INDEX KEY: 0001012282 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05097 FILM NUMBER: 031018276 BUSINESS ADDRESS: STREET 1: 2745 CHADWICK CT CITY: BROOKFIELD STATE: WI ZIP: 53045 BUSINESS PHONE: 4147843554 MAIL ADDRESS: STREET 1: 2745 CHADWICK CT CITY: BROOKFIELD STATE: WI ZIP: 53045 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-11-19 0000053669 JOHNSON CONTROLS INC JCI 0001012282 ROELL STEPHEN A 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201-0591 0100Sr Vice President-CFOCommon Stock72890DCommon Stock2065.8IBy 401(k) Plan TrustPreferred Stock1228.053IBy ESOP 401(k) Plan TrustPhantom Stock Units/Excess Benefit Plan-CommonCommon Stock2076.8592076.859DPhantom Stock Units/Excess Benefit Plan-PreferredPreferred Stock2345.6932345.693DPhantom Stock Units / Restricted Stock GrantCommon Stock15447.2115447.21DStock Option105.102003-11-194A052000105.10A2005-11-192013-11-19Common Stock5200052000DIncludes 10.603 shares acquired through the reinvestment of dividends on 6/30/03 and 9/30/03 at prices of $171.20 and $189.20 per share.The phantom stock units convert to the common stock's cash value on a one-for-one basis.The phantom stock units were accrued under the Johnson Controls Equalization 401(k) Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement. Includes 17.059 phantom stock units acquired through reinvestment of dividends on 6/30/2003 and 9/30/2003 at prices of $85.60 and $94.60 per phantom stock unit.Includes 25.693 phantom stock units acquired through the reinvestment of dividends on 6/30/03 and 9/30/03 at prices of $171.20 and $189.20 per phantom stock unit.The restricted stock units were awarded under the Johnson Controls Executive Deferred Restricted Plan. The units are to be settled 100% in cash upon the reporting person's retirement. Includes 123.01 phantom stock units acquired through the reinvestment of dividends on 6/30/2003 and 9/30/2003 at prices of $85.60 and $94.60 per phantom stock unit.The options become exercisable two years after the grant date in 50% increments on 11/19/2005 and 11/19/2006.Arlene D. Gumm Attorney-In-Fact for Stephen A. Roell2003-11-21 -----END PRIVACY-ENHANCED MESSAGE-----