Filing Details

Accession Number:
0001205035-11-000002
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-08-02 13:39:39
Reporting Period:
2011-07-29
Filing Date:
2011-08-02
Filing Date Changed:
2011-08-02
Accepted Time:
2011-08-02 14:39:39
Original Submission Date:
Issuer
Cik Name Symbol Sector (SIC) IRS No
53669 Johnson Controls Inc JCI Public Bldg & Related Furniture (2531) 390380010
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1205035 F Susan Davis 5757 N. Green Bay Avenue
P.o. Box 591
Milwaukee WI 53201-0591
Executive Vice President No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings
Common Stock Disposition 2011-07-29 1 $38.80 171,866
Common Stock Disposition 2011-08-01 3,315 $37.51 168,551
Common Stock Acquisiton 2011-08-01 706 $37.51 169,257
Common Stock Disposition 2011-08-01 706 $37.51 168,551
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 F Direct
No 4 M Direct
No 4 D Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Phantom Stock Units/Restricted Stock Disposition 2011-08-01 706 $37.51 706 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
48,976 2012-11-01 2014-11-01 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,208 Indirect By 401(k) Plan
Reported Derivative Holdings
Sec. Name Sec. Type Price Date
Common Stock Phantom Stock Units/Retirement Restoration Plan $0.00
Common Stock Employee Stock Option (Right to Buy) $20.56 2006-11-17
Common Stock Employee Stock Option (Right to Buy) $22.56 2007-11-16
Common Stock Employee Stock Option (Right to Buy) $23.97 2008-10-02
Common Stock Employee Stock Option (Right to Buy) $40.21 2009-10-01
Common Stock Employee Stock Option (Right to Buy) $28.79 2010-10-01
Common Stock Employee Stock Option (Right to Buy) $24.87 2011-10-01
Common Stock Employee Stock Option (Right to Buy) $30.54 2012-10-01
Expiration Date Amount Remaning Holdings Nature of Ownership
985 985 Direct
2014-11-17 138,000 138,000 Direct
2015-11-16 123,000 123,000 Direct
2016-10-02 120,000 120,000 Direct
2017-10-01 75,000 75,000 Direct
2018-10-01 110,000 110,000 Direct
2019-10-01 110,000 110,000 Direct
2020-10-01 84,000 84,000 Direct
Footnotes
  1. Includes 7,500 shares of restricted stock that vest on August 1, 2011.
  2. Includes 2.252 shares of stock acquired through the reinvestment of dividends on July 5, 2011 at $42.3054 per share.
  3. The number of underlying securities is based on the stock fund balance on July 29, 2011. 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 July 29, 2011, stock fund price of $36.95 per share.
  4. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
  5. 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.
  6. Includes 215.731 phantom stock units acquired through the reinvestment of dividends on July 5, 2011 at $42.25 per phantom stock unit.
  7. The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
  8. Includes 3.715 phantom stock units acquired through the reinvestment of dividends on July 5, 2011 at $42.25 per phantom stock unit.
  9. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
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