-----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, NOKZCe+Lpsa+UsLVOs4kuL8O2snYxOvQodX11vBTBLz09TSlL29+hNj25PKOYna7 +jDSFshj8cJ2Y71ESkZ6Tw== 0001012282-09-000002.txt : 20091104 0001012282-09-000002.hdr.sgml : 20091104 20091104105156 ACCESSION NUMBER: 0001012282-09-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091102 FILED AS OF DATE: 20091104 DATE AS OF CHANGE: 20091104 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: 091156630 MAIL ADDRESS: STREET 1: 2745 CHADWICK CT CITY: BROOKFIELD STATE: WI ZIP: 53045 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 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-11-02 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 Chief Executive Officer Common Stock 2009-11-02 4 F 0 29103 24.71 D 721644 D Common Stock 2009-11-02 4 M 0 3360.938 24.71 A 725004.938 D Common Stock 2009-11-02 4 D 0 3360.938 24.71 D 721644 D Common Stock 33400.15 I By 401(k) Plan Trust Phantom Stock Units / Restricted Stock Grant 2009-11-02 4 A 0 113000 24.71 A 2011-11-02 2013-11-02 Common Stock 113000 113000 D Phantom Stock Units/Retirement Restoration Plan Common Stock 54718.105 54718.105 D Phantom Stock Units / Restricted Stock Grant Common Stock 110900.733 110900.733 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 2010-10-01 2018-10-01 Common Stock 550000 550000 D Employee Stock Option (Right to Buy) 24.87 2011-10-01 2019-10-01 Common Stock 610000 610000 D Includes shares of restricted stock which vest as follows: 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 30, 2009. 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 October 30, 2009, stock fund price of $23.92 per share. Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The phantom stock balance consists of an award of 113,000 restricted stock units granted on November 2, 2009, which vest as follows: 56,500 on November 2, 2011, and 56,500 on November 2, 2013. The phantom stock units representing the award, and the dividends which accrue during the restrictive period, are to be settled 100% in cash, pending vesting. The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan. The units are payable in cash following the reporting person's retirement from the issuer, and may be transferred by the reporting person into an alternative investment account. The phantom stock units representing dividends which relate to restricted stock awards that were not deferred will vest when the non-deferred restricted shares vest, and will be paid in cash to the reporting person. Phantom stock units representing dividends which relate to vested, deferred restricted stock awards are payable in cash following the reporting person's termination from the issuer and may be transferred into an alternative investment account. Vesting continues when the reporting person retires from the issuer. Fifty percent of the options vest after two years and the remaining 50% vests after three years. Angela M. Blair, Attorney-In-Fact for Stephen A. Roell 2009-11-03 -----END PRIVACY-ENHANCED MESSAGE-----