-----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, VC88zw+f9ttnjizHbUUmkzxHywMQUfOHOgINWiGrxb8/2lmch3b1fhEGOUNkeaLG MPAY/FF9FHdSmTkq7JXrPA== 0001321504-08-000001.txt : 20081002 0001321504-08-000001.hdr.sgml : 20081002 20081002174700 ACCESSION NUMBER: 0001321504-08-000001 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: Augustin Jeffrey G CENTRAL INDEX KEY: 0001321504 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05097 FILM NUMBER: 081104731 BUSINESS ADDRESS: BUSINESS PHONE: 414-524-1200 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 2008-10-01 0000053669 JOHNSON CONTROLS INC JCI 0001321504 Augustin Jeffrey G 5757 N GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201 0 1 0 0 Vice President Common Stock 258.968 I By 401K Trust Phantom Stock Units/Long-Term Incentive Plan Common Stock 8224.93 8224.93 D Phantom Stock Units/Excess Benefit Plan-Common Common Stock 195.4 195.4 D Phantom Stock Units/Restricted Stock Grant Common Stock 24655.02 24655.02 D Employee Stock Option (Right to Buy) 22.5617 2007-11-16 2015-11-16 Common Stock 72000 72000 D Employee Stock Option (Right to Buy) 23.965 2008-10-02 2016-10-02 Common Stock 60000 60000 D Employee Stock Option (Right to Buy) 40.21 2009-10-01 2017-10-01 Common Stock 36000 36000 D Employee Stock Option (Right to Buy) 28.79 2008-10-01 4 A 0 48000 28.79 A 2010-10-01 2018-10-01 Common Stock 48000 48000 D 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 unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. These phantom share units were accrued in the Johnson Controls Long-Term Incentive Plan and are payable in cash following the reporting person's termination of employment with the company. The units may be transferred by the reporting person into an alternative investment account at any time. Includes 97.51 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 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 Equalization 401(k) Benefit Plan. 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 2.317 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 restricted stock units were accrued under the Johnson Controls Restricted Stock Plan. The units will be settled 100% in cash following the reporting person's termination of employment with the company, subject to a vesting schedule. Includes 292.28 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 become exercisable two years after the grant date; the remaining 50%, three years after grant date. Arlene D. Gumm Attorney-in-Fact for Jeffrey G. Augustin 2008-10-02 -----END PRIVACY-ENHANCED MESSAGE-----