-----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, RidkcM5WverszxUfxk9zNmKPY91HEwbcl2BkSVNQ81ZoD9lKNQbVoHDBEIIm5AGq 04auw4PG68BUKOsneoqe8g== 0001012282-08-000003.txt : 20081002 0001012282-08-000003.hdr.sgml : 20081002 20081002204021 ACCESSION NUMBER: 0001012282-08-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081001 FILED AS OF DATE: 20081002 DATE AS OF CHANGE: 20081002 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: 081105153 BUSINESS ADDRESS: BUSINESS PHONE: 4147843554 MAIL ADDRESS: STREET 1: 2745 CHADWICK CT CITY: BROOKFIELD STATE: WI ZIP: 53045 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2008-10-01 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 750747 D Common Stock 31089.75 I By 401(k) Plan Trust Phantom Stock Units/Excess Benefit Plan-Common Common Stock 52999.524 52999.524 D Phantom Stock Units / Restricted Stock Grant Common Stock 103841.737 103841.737 D Employee Stock Option (Right to Buy) 17.5167 2005-11-19 2013-11-19 Common Stock 312000 312000 D Employee Stock Option (Right to Buy) 20.5633 2006-11-17 2014-11-17 Common Stock 300000 300000 D Employee Stock Option (Right to Buy) 22.5617 2007-11-16 2015-11-16 Common Stock 525000 525000 D Employee Stock Option (Right to Buy) 23.965 2008-10-02 2016-10-02 Common Stock 591000 591000 D Employee Stock Option (Right to Buy) 40.21 2009-10-01 2017-10-01 Common Stock 375000 375000 D Employee Stock Option (Right to Buy) 28.79 2008-10-01 4 A 0 550000 0 A 2010-10-01 2018-10-01 Common Stock 550000 550000 D Includes shares awarded under a Restricted Stock Plan. Restricted shares vest as follows: 75,000 on 11/1/2009, 60,000 shares on 1/3/2010, 7,500 shares on 8/1/2011 and 75,000 shares on 11/1/2011. The number of underlying securities is based on the stock fund balance on October 1, 2008. 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 1, 2008, stock fund price of $28.79 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 433.895 phantom stock units acquired through the reinvestment of dividends on January 2, April 2 and July 3, 2008, at prices ranging from $28.62 - $35.18 per phantom stock 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. 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 2,630.75 phantom stock units acquired through the reinvestment of dividends on January 2, April 2 and July 3, 2008, at prices ranging from $28.62 - $35.18 per phantom stock 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 2008-10-02 -----END PRIVACY-ENHANCED MESSAGE-----