-----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, IkyRUJLgM2wSSTCySJmdXLpRgbg0xGugHHG6QoxT/R24KbvRLkU91z8HRcadf0Rv gKsLusbu9aU/01yTf51J5Q== 0001012282-07-000003.txt : 20071105 0001012282-07-000003.hdr.sgml : 20071105 20071105173445 ACCESSION NUMBER: 0001012282-07-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071101 FILED AS OF DATE: 20071105 DATE AS OF CHANGE: 20071105 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: 071215092 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 2007-11-01 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 Chief Executive Officer Common Stock 2007-11-01 4 A 0 150000 42.07 A 794670 D Common Stock 29830.12 I By 401(k) Plan Trust Phantom Stock Units/Excess Benefit Plan-Common Common Stock 52371.219 52371.219 D Phantom Stock Units / Restricted Stock Grant Common Stock 104274.189 104274.189 D Stock Option 17.5167 2005-11-19 2013-11-19 Common Stock 312000 312000 D Stock Option 20.5633 2006-11-17 2014-11-17 Common Stock 300000 300000 D Stock Option 22.5617 2007-11-16 2015-11-16 Common Stock 525000 525000 D Stock Option 23.965 2008-10-02 2016-10-02 Common Stock 591000 591000 D Stock Option 40.21 2009-10-01 2017-10-01 Common Stock 375000 375000 D Award of a restricted stock grant. Fifty percent vests in two years and the balance after four years, contingent upon continued employment with the company. On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 429,780 additional shares of common stock. Includes 325,000 shares awarded under a Restricted Stock Plan. Restricted shares vest as follows (numbers are post-split): 108,000 on 1/3/2008; 75,000 on 11/1/2009 (new grant), 60,000 shares on 1/3/2010, 7,500 shares on 8/1/2011 and 75,000 shares on 11/1/2011 (new grant). The number of underlying securities is based on the stock fund balance on October 31, 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 October 31, 2007, stock fund price of $43.72 per share. This also includes 19,878.0403 shares acquired as the result of the 3-for-1 stock split of Johnson Controls common stock on October 2, 2007. 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. Includes 144.105 phantom stock units acquired through reinvestment of dividends on October 2, 2007, at a price of 39.8667 per phantom unit. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 34,818.076 additional phantom stock units. 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. 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. 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 769.83 phantom stock units acquired through reinvestment of dividends on October 2, 2007, at a price of 39.8667 per phantom unit. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 69,002.906 additional phantom stock units. On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 208,000 additional options. The option price changed from $52.55 to $17.5167. Fifty percent of the options vest after two years and the remaining 50% vests after three years. On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 200,000 additional options. The option price changed from $61.69 to $20.5633. On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 350,000 additional options. The option price changed from $67.685 to $22.5617. On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 394,000 additional options. The option price changed from $71.895 to $23.965. On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 250,000 additional options. The option price changed from $120.63 to $40.21. Arlene D. Gumm Attorney-In-Fact for Stephen A. Roell 2007-11-05 -----END PRIVACY-ENHANCED MESSAGE-----