-----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, NWfiSOJ7LfWk5EzIyiTRc/C7bbQnSpLPMwqUsQwBDf14MvjPK3Gp1X0Hb2KzFU6g ZnZlXCnYXgXJZsH0UaK42g== 0001321504-10-000005.txt : 20101213 0001321504-10-000005.hdr.sgml : 20101213 20101213153722 ACCESSION NUMBER: 0001321504-10-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101210 FILED AS OF DATE: 20101213 DATE AS OF CHANGE: 20101213 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: 101247834 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 2010-12-10 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 11700 D Common Stock 273.551 I By 401(k) Trust Phantom Stock Units/Retirement Restoration Plan 2010-12-10 4 A 0 306.639 37.96 A Common Stock 306.639 2756.592 D Phantom Stock Units/Long-Term Incentive Plan 2010-12-10 4 A 0 4689.146 37.96 A Common Stock 4689.146 31023.78 D Phantom Stock Units/Restricted Stock Grant Common Stock 26024.738 26024.738 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 Employee Stock Option (Right to Buy) 30.54 2012-10-01 2020-10-01 Common Stock 35000 35000 D Includes 11,700 shares of restricted stock, of which 3,250 vest on November 2, 2011, 2,600 vest on November 1, 2012, 3,250 vest on November 2, 2013, and 2,600 vest on November 1, 2014. All vesting is subject to continuous employment with the issuer. The number of underlying securities is based on the stock fund balance on December 10, 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 December 10, 2010, stock fund price of $37.96 per share. 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 Retirement Restoration 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. 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. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. 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 awards are payable in cash following the reporting person's retirement 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 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 2010-12-13 -----END PRIVACY-ENHANCED MESSAGE-----