-----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, WUEnyiw4zdXZEJCHlFrBVTVHya/2H7Oy7mK6hZI7ISHgm6U3yDBhSpdWrivjE7/T oaEMpwlqLW8zbUYgY9laig== 0001012282-06-000003.txt : 20061004 0001012282-06-000003.hdr.sgml : 20061004 20061004183829 ACCESSION NUMBER: 0001012282-06-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061002 FILED AS OF DATE: 20061004 DATE AS OF CHANGE: 20061004 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 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: 061129469 BUSINESS ADDRESS: BUSINESS PHONE: 4147843554 MAIL ADDRESS: STREET 1: 2745 CHADWICK CT CITY: BROOKFIELD STATE: WI ZIP: 53045 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-10-02 0000053669 JOHNSON CONTROLS INC JCI 0001012282 ROELL STEPHEN A 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201-0591 1 1 0 0 Vice Chairman & Exec Vice Pres Common Stock 214890 D Common Stock 9910.319 I By 401(k) Plan Trust Phantom Stock Units/Excess Benefit Plan-Common Common Stock 17233.003 17233.003 D Phantom Stock Units / Restricted Stock Grant Common Stock 33561.048 33561.048 D Stock Option 40.115 2003-11-14 2011-11-14 Common Stock 80000 80000 D Stock Option 40.2975 2004-11-20 2012-11-20 Common Stock 110000 110000 D Stock Option 52.55 2005-11-19 2013-11-19 Common Stock 104000 104000 D Stock Option 61.69 2006-11-17 2014-11-17 Common Stock 100000 100000 D Stock Option 67.685 2007-11-16 2015-11-16 Common Stock 175000 175000 D Stock Option 71.895 2006-10-02 4 A 0 197000 71.895 A 2008-10-02 2016-10-02 Common Stock 197000 197000 D Includes 58,500 shares awarded under a Restricted Stock Plan. Restricted shares vest as follows: 36,000 shares on 1/3/2008; 20,000 shares on 1/3/2010 and 2500 shares on 8/1/2011. The number of underlying securities is based on the stock fund balance on September 29, 2006 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 September 29, 2006, stock fund price of $71.74 per share. 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 Equalization 401(k) Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement. Includes 66.999 phantom stock units acquired through reinvestment of dividends on September 29, 2006, at a price of $71.74 per phantom unit. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The phantom stock units were accrued under the Johnson Controls Deferred Restricted Stock Plan and are to be settled 100% in cash. Phantom units related to a deferred restricted stock grant are to be settled 100% in cash upon the reporting person's termination of employment with the company, pending vesting. Phantom units related to non-deferred restricted stock grants are to be settled 100% in cash upon vesting of the related grant. Includes 357.196 phantom stock units acquired through reinvestment of dividends on September 29, 2006, at a price of $71.74 per phantom unit. Fifty percent of the options vest after two years and the remaining 50% vests after three years. Arlene D. Gumm Attorney-In-Fact for Stephen A. Roell 2006-10-04 -----END PRIVACY-ENHANCED MESSAGE-----