Filing Details

Accession Number:
0001012282-11-000004
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-11-09 16:08:06
Reporting Period:
2011-11-08
Filing Date:
2011-11-09
Accepted Time:
2011-11-09 16:08:06
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
1012282 A Stephen Roell 5757 N. Green Bay Avenue
P.o. Box 591
Milwaukee WI 53201-0591
Chief Executive Officer Yes 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 Disposition 2011-11-08 45,048 $32.51 679,882 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 34,619 Indirect By 401(k) Plan Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Phantom Stock Units/Restricted Stock $0.00 334,641 334,641 Direct
Common Stock Phantom Stock Units/Retirement Restoration Plan $0.00 56,673 56,673 Direct
Common Stock Employee Stock Option (Right to Buy) $22.56 2007-11-16 2015-11-16 525,000 525,000 Direct
Common Stock Employee Stock Option (Right to Buy) $23.97 2008-10-02 2016-10-02 591,000 591,000 Direct
Common Stock Employee Stock Option (Right to Buy) $40.21 2009-10-01 2017-10-01 375,000 375,000 Direct
Common Stock Employee Stock Option (Right to Buy) $28.79 2010-10-01 2018-10-01 550,000 550,000 Direct
Common Stock Employee Stock Option (Right to Buy) $24.87 2011-10-01 2019-10-01 610,000 610,000 Direct
Common Stock Employee Stock Option (Right to Buy) $30.54 2012-10-01 2020-10-01 505,000 505,000 Direct
Common Stock Employee Stock Option (Right to Buy) $28.54 2013-10-07 2021-10-07 467,000 467,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
334,641 334,641 Direct
56,673 56,673 Direct
2015-11-16 525,000 525,000 Direct
2016-10-02 591,000 591,000 Direct
2017-10-01 375,000 375,000 Direct
2018-10-01 550,000 550,000 Direct
2019-10-01 610,000 610,000 Direct
2020-10-01 505,000 505,000 Direct
2021-10-07 467,000 467,000 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.42 to $32.61, inclusive. The reporting person undertakes to provide to the issuer, any shareholder of the issuer, 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 ranges set forth in this footnote to this Form 4.
  2. The number of underlying securities is based on the stock fund balance on October 31, 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 October 31, 2011, stock fund price of $32.93 per share.
  3. Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
  4. The balance includes phantom stock units representing (a) vested, deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon retirement and may be transferred into an alternative investment account, (b) dividends which relate to an unvested, non-deferred restricted stock award, which will be settled 100% in cash upon vesting, and (c) unvested, non-deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon vesting of the award.
  5. The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan. The units are payable in cash following the reporting person's retirement from the issuer, and may be transferred by the reporting person into an alternative investment account.
  6. Fifty percent of the options vest after two years and the remaining 50% vests after three years.