Filing Details
- Accession Number:
- 0001199237-10-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-09 12:00:00
- Reporting Period:
- 2009-08-18
- Filing Date:
- 2010-02-09
- Accepted Time:
- 2010-02-09 10:38:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1199237 | David C Myers | 5757 N Green Bay Avenue P.o. Box 591 Milwaukee WI 53201 | Vice President | 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 | 2009-08-18 | 50 | $24.94 | 50 | No | 4 | P | Indirect | By Spouse |
| Common Stock | Acquisiton | 2009-11-03 | 25 | $24.62 | 75 | No | 4 | P | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Spouse |
| No | 4 | P | Indirect | By Spouse |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 130,517 | Direct | |
| Common Stock | 7,131 | 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 | 12,720 | 12,720 | Direct | ||
| Common Stock | Phantom Stock Units/Restricted Stock Grant | $0.00 | 851 | 851 | Direct | ||
| Common Stock | 6.50% Convertible Senior Notes | $0.00 | 2009-03-16 | 2012-09-30 | 0 | 200,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $24.37 | 2008-01-03 | 2016-01-03 | 120,000 | 120,000 | 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 |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 12,720 | 12,720 | Direct | |
| 851 | 851 | Direct | |
| 2012-09-30 | 0 | 200,000 | Direct |
| 2016-01-03 | 120,000 | 120,000 | 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 |
Footnotes
- Includes 22,500 shares of restricted stock granted on November 2, 2009, of which 11,250 vest on 11/2/2011, and 11,250 vest on 11/2/2013, and 15,000 shares of previously granted restricted stock which vest on 11/1/2011. The vesting of all shares of restricted stock is subject to continuous employment with the issuer.
- The transactions were affected in a discretionary brokerage account over which Mr. Myers had no investment control.
- The number of underlying securities is based on the stock fund balance on February 3, 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 a February 3, 2010, stock fund price of $29.65 per share.
- 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.
- 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 retirement.
- Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- The phantom stock units, which were accrued under the Johnson Controls Restricted Stock Plan, represent dividends which relate to unvested restricted stock awards, and will be paid to the reporting person in cash when the restricted stock award to which they pertain vests.
- The 6.50% Convertible Senior Notes due 2012 are convertible at any time prior to the close of business on the second scheduled trading day immediately preceding September 30, 2012. The conversion rate for the notes is initially 89.3855 shares per $1,000 principal amount of notes (equal to a conversion price of approximately $11.19 per share of common stock), subject to adjustment, pursuant to the terms of the notes.
- 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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