-----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, PM1CqFq+uONcE3zIOQ5bnEuv/2euwbjmk8n8fjgFTZNYeHWdW4krZTZUvoI2C4rM cF/204isxucQ0gxht0Se5g== 0001205040-08-000001.txt : 20080104 0001205040-08-000001.hdr.sgml : 20080104 20080104195053 ACCESSION NUMBER: 0001205040-08-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080103 FILED AS OF DATE: 20080104 DATE AS OF CHANGE: 20080104 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: OKARMA JEROME D CENTRAL INDEX KEY: 0001205040 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05097 FILM NUMBER: 08513432 BUSINESS ADDRESS: STREET 1: JOHNSON CONTROLS INC STREET 2: 5757 N. GREEN BAY AVE. CITY: MILWAUKEE STATE: WI ZIP: 53201 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2008-01-03 0000053669 JOHNSON CONTROLS INC JCI 0001205040 OKARMA JEROME D 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201-0591 0 1 0 0 VP, Secretary & Gen Counsel Common Stock 2007-11-30 5 G 0 257 0 D 85315 D Common Stock 2008-01-03 4 F 0 7650 35.02 D 77665 D Common Stock 33338.21 I By 401(k) Plan Trust Phantom Stock Units/Excess 401(k) Plan Common Stock 7852.758 7852.758 D Phantom Stock Units/Restricted Stock Grant Common Stock 1353.952 1353.952 D Stock Option 13.4325 2004-11-20 2012-11-20 Common Stock 48000 48000 D Stock Option 17.5167 2005-11-19 2013-11-19 Common Stock 48000 48000 D Stock Option 20.5633 2006-11-17 2014-11-17 Common Stock 60000 60000 D Stock Option 22.5617 2007-11-16 2015-11-16 Common Stock 150000 150000 D Stock Option 23.965 2008-10-02 2016-10-02 Common Stock 120000 120000 D Stock Option 40.21 2009-10-01 2017-10-01 Common Stock 75000 75000 D Includes shares for restricted stock grants as follows: 22,500 vest on 1/3/2010, 12,750 vest on 11/1/2009 and 12,750 on 11/1/2011. The number of underlying securities is based on the stock fund balance on January 3, 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 January 3, 2008, stock fund price of $35.02 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 termination of employment with the company. Includes 29.043 phantom stock units acquired through reinvestment of dividends on January 3, 2008, at a price of $35.02 per phantom unit. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The restricted stock units were accrued under the Johnson Controls Restricted Stock Plan. The units represent the reinvestment of dividends and are to be settled 100% in cash upon the vesting of the reporting person's Restricted Stock. Includes 265.747 phantom stock units acquired through reinvestment of dividends on January 3, 2008, at a price of $35.02 per phantom unit. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. Arlene D. Gumm, Attorney-in-Fact for Jerome D. Okarma 2008-01-04 -----END PRIVACY-ENHANCED MESSAGE-----