-----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, GHnHBGVhp9mASXHyS9CuxitdSAc9F21Pk6+erZ5koqZwshXYi5TgP/Gyma6DmK+3 IpQP/EYEB65gBWjolAUdQA== 0001321504-09-000002.txt : 20091103 0001321504-09-000002.hdr.sgml : 20091103 20091103113755 ACCESSION NUMBER: 0001321504-09-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091102 FILED AS OF DATE: 20091103 DATE AS OF CHANGE: 20091103 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: 091153390 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 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 0001321504 Augustin Jeffrey G 5757 N GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201 0 1 0 0 Vice President Common Stock 2009-11-02 4 A 0 6500 24.71 A 6500 D Common Stock 273.869 I By 401(k) Trust Phantom Stock Units/Retirement Restoration Plan Common Stock 1991.435 1991.435 D Phantom Stock Units/Long-Term Incentive Plan Common Stock 21727.159 21727.159 D Phantom Stock Units/Restricted Stock Grant Common Stock 25454.491 25454.491 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 2010-10-01 2018-10-01 Common Stock 48000 48000 D Employee Stock Option (Right to Buy) 24.87 2011-10-01 2019-10-01 Common Stock 48000 48000 D The share balance consists of 6,500 shares of restricted stock granted on November 2, 2009, which vest as follows: 3,250 on November 2, 2011, and 3,250 on November 2, 2013, subject to continuous employment with the issuer. 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 units are being accrued under the Johnson Controls Retirement Restoration Plan. Shares of phantom stock are payable in cash following the reporting person's termination of employment with the issuer and may be transferred by the reporting person into an alternative investment account at any time. Includes 32.822 units acquired through ongoing employee payroll contributions in the Retirement Restoration Plan which mirrors the issuer's 401(k) plan. Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. These phantom share units are being accrued under the Johnson Controls Long-Term Incentive Plan and are payable in cash following the reporting person's termination of employment with the issuer. The units may be transferred by the reporting person into an alternative investment account at any time. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The restricted stock units are being accrued under the Johnson Controls Restricted Stock Plan. The vested units will be settled 100% in cash following the reporting person's termination of employment with the issuer. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. Angela M. Blair, Attorney-in-Fact for Jeffrey G. Augustin 2009-11-03 -----END PRIVACY-ENHANCED MESSAGE-----