Filing Details

Accession Number:
0001207696-10-000003
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-11-05 09:55:38
Reporting Period:
2010-11-04
Filing Date:
2010-11-05
Accepted Time:
2010-11-05 09:55:38
SEC Url:
Form 4 Filing
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
1207696 Bruce R Mcdonald 5757 N. Green Bay Avenue
P.o. Box 591
Milwaukee WI 53201-0591
Exec Vice President & Cfo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2010-11-04 180,000 $13.35 333,061 No 4 M Direct
Common Stock Disposition 2010-11-04 180,000 $36.23 153,061 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Acquisiton 2010-11-04 180,000 $0.00 180,000 $13.35
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2003-11-26 2011-11-26 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 15,996 Indirect By 401(k) Plan
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Phantom Stock Units/Retirement Restoration Plan $0.00 34,909 34,909 Direct
Common Stock Phantom Stock Units/Long-Term Incentive Plan $0.00 87,013 87,013 Direct
Common Stock Phantom Stock Units/Restricted Stock Grant $0.00 136,401 136,401 Direct
Common Stock Employee Stock Option (Right to Buy) $13.43 2004-11-20 2012-11-20 60,000 60,000 Direct
Common Stock Employee Stock Option (Right to Buy) $17.52 2005-11-19 2013-11-19 72,000 72,000 Direct
Common Stock Employee Stock Option (Right to Buy) $20.56 2006-11-17 2014-11-17 150,000 150,000 Direct
Common Stock Employee Stock Option (Right to Buy) $22.56 2007-11-16 2015-11-16 225,000 225,000 Direct
Common Stock Employee Stock Option (Right to Buy) $23.97 2008-10-02 2016-10-02 192,000 192,000 Direct
Common Stock Employee Stock Option (Right to Buy) $40.21 2009-10-01 2017-10-01 120,000 120,000 Direct
Common Stock Employee Stock Option (Right to Buy) $28.79 2010-10-01 2018-10-01 160,000 160,000 Direct
Common Stock Employee Stock Option (Right to Buy) $24.87 2011-10-01 2019-10-01 170,000 170,000 Direct
Common Stock Employee Stock Option (Right to Buy) $30.54 2012-10-01 2020-10-01 150,000 150,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
34,909 34,909 Direct
87,013 87,013 Direct
136,401 136,401 Direct
2012-11-20 60,000 60,000 Direct
2013-11-19 72,000 72,000 Direct
2014-11-17 150,000 150,000 Direct
2015-11-16 225,000 225,000 Direct
2016-10-02 192,000 192,000 Direct
2017-10-01 120,000 120,000 Direct
2018-10-01 160,000 160,000 Direct
2019-10-01 170,000 170,000 Direct
2020-10-01 150,000 150,000 Direct
Footnotes
  1. Includes 51,000 shares of previously granted restricted stock, which vest as follows: 13,500 shares on November 2, 2011; 12,000 shares on November 1, 2012; 12,000 shares on November 1, 2014; and 13,500 shares on November 2, 2013. All vesting is subject to continuous employment with the issuer.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $36.15 to $36.31, inclusive. The reporting person undertakes to provide to Johnson Controls, any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.
  3. The number of underlying securities is based on the stock fund balance on November 4, 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 November 4, 2010, stock fund price of $36.50 per share.
  4. 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.
  5. 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.
  6. The phantom stock units were accrued under the Johnson Controls Long-Term Incentive Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
  7. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
  8. The restricted stock units were awarded under the Johnson Controls Executive Deferred Compensation Plan. The units are to be settled 100% in cash upon the reporting person's termination of employment with the company, subject to vesting provisions.
  9. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.