-----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, G4tKs+sfsVcd24ARhAeW8YTnsxK6ZYN9cMG4Ri1i1+SF76o6Kwpq3RXt04tG8bYc MAR8CrZedcT6kYSdJYL8Bw== 0001012282-10-000002.txt : 20101005 0001012282-10-000002.hdr.sgml : 20101005 20101005171625 ACCESSION NUMBER: 0001012282-10-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101001 FILED AS OF DATE: 20101005 DATE AS OF CHANGE: 20101005 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: 101109999 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 2010-10-01 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 761247 D Common Stock 33737.927 I By 401(k) Plan Trust Employee Stock Option (Right to Buy) 30.54 2010-10-01 4 A 0 505000 0 A 2012-10-01 2020-10-01 Common Stock 505000 505000 D Phantom Stock Units / Restricted Stock Grant Common Stock 225088.895 225088.895 D Phantom Stock Units/Retirement Restoration Plan Common Stock 55694.583 55694.583 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 7,500 shares of restricted stock which vest on 8/1/2011, and 75,000 shares of restricted stock which vest on 11/1/2011. The number of underlying securities is based on the stock fund balance on September 30, 2010. 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 30, 2010 stock fund price of $30.50 per share. Fifty percent of the options vest after two years and the remaining 50% vests after three years. Each unit 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 Restricted Stock Plan. Includes 3979.725 phantom stock units acquired through the reinvestment of dividends on April 5, July 2 and October 4, 2010 at prices ranging from $33.10 and $26.88 per phantom stock unit, respectively. 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. Includes 720.601 phantom stock units acquired through the reinvestment of dividends on April 5, July 2 and October 4, 2010 at prices ranging from $26.88 to $33.10 per phantom stock unit. Angela M. Blair, Attorney-In-Fact for Stephen A. Roell 2010-10-05 -----END PRIVACY-ENHANCED MESSAGE-----