Filing Details
- Accession Number:
- 0001446436-10-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-17 13:00:00
- Reporting Period:
- 2010-05-17
- Filing Date:
- 2010-05-17
- Accepted Time:
- 2010-05-17 15:40:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1446436 | Colin Boyd | 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 | 2010-05-17 | 600 | $30.05 | 1,303 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 786 | 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/Restricted Stock Grant | $0.00 | 2010-10-01 | 2012-10-01 | 4,145 | 4,145 | Direct |
| Common Stock | Phantom Stock Units/Restricted Stock Grant | $0.00 | 2011-11-02 | 2013-11-02 | 6,556 | 6,556 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $28.79 | 2010-10-01 | 2018-10-01 | 40,000 | 40,000 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $24.87 | 2011-10-01 | 2019-10-01 | 40,000 | 40,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-10-01 | 4,145 | 4,145 | Direct |
| 2013-11-02 | 6,556 | 6,556 | Direct |
| 2018-10-01 | 40,000 | 40,000 | Direct |
| 2019-10-01 | 40,000 | 40,000 | Direct |
Footnotes
- Includes 2.6091 shares acquired via the reinvestment of dividends on April 5, 2010 at $33.03 per share.
- The number of underlying securities is based on the stock fund balance on April 30, 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 April 30, 2010, stock fund price of $33.59 per share, and includes a company match of 95.684 shares on February 16, 2010.
- Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
- The phantom stock unit balance reflects an award of 4,000 restricted stock units granted on October 1, 2008, which vest as follows: 2,000 units on October 1, 2010, and 2,000 units on October 2, 2012, based on continuous employment with the issuer.
- Includes 145.485 phantom stock units acquired through the reinvestment of dividends on January 5 and April 5, 2010 at prices ranging from $27.80 to $25.648 per phantom stock unit.
- The phantom stock unit balance consists of an award of 6,500 restricted stock units granted on November 2, 2009, which vest as follows: 3,250 units on November 2, 2011, and 3,250 units on November 2, 2013, based on continuous employment with the issuer.
- Includes 56.044 phantom stock units acquired through the reinvestment of dividends on January 5 and April 5, 2010, at prices ranging from $27.80 to $25.648 per phantom stock unit.
- 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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