-----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, BRLo8HxumFg6WCJrPzwyjm9iH1md/EYagn3EIDJ89/GLZ7wIAg3uBy92WXHSVtXZ pBbxddhEYt33ZM3wVrWO3A== 0001012282-07-000001.txt : 20070313 0001012282-07-000001.hdr.sgml : 20070313 20070313175441 ACCESSION NUMBER: 0001012282-07-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070312 FILED AS OF DATE: 20070313 DATE AS OF CHANGE: 20070313 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: 07691661 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 2007-03-12 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 2007-03-12 4 M 0 80000 40.115 A 294890 D Common Stock 2007-03-12 4 M 0 110000 40.2975 A 404890 D Common Stock 2007-03-12 4 S 0 190000 95.2757 A 214890 D Common Stock 9971.757 I By 401(k) Plan Trust Phantom Stock Units/Excess Benefit Plan-Common Common Stock 17299.222 17299.222 D Phantom Stock Units / Restricted Stock Grant Common Stock 33914.799 33914.799 D Stock Option 40.115 2007-03-12 4 M 0 80000 40.115 D 2003-11-14 2011-11-14 Common Stock 80000 0 D Stock Option 40.2975 2007-03-12 4 M 0 110000 40.2975 D 2004-11-20 2012-11-20 Common Stock 110000 0 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 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 March 12, 2007. 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 a March 12, 2007, stock fund price of $95.86 per share. Included in the total are 53.257 shares for a company match which was contributed to the plan on February 22, 2007, at a price of $99.21 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 66.219 phantom stock units acquired through reinvestment of dividends on January 3, 2007, at a price of $85.88 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 353.751 phantom stock units acquired through reinvestment of dividends on January 3, 2007, at a price of $85.88 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 2007-03-13 -----END PRIVACY-ENHANCED MESSAGE-----