JOHNSON CONTROLS INC 4

Accession 0001205031-06-000002

CIK 0000053669operating

View on SEC.gov Company Profile

Filed

Oct 3, 8:00 PM ET

Accepted

Oct 4, 3:06 PM ET

Size

19.9 KB

Accession

0001205031-06-000002

Insider Transaction Report

Form 4

Period: 2006-10-02

JOHNSON CONTROLS INCJCI

BARTH JOHN M

DirectorChairman, CEO & President

Transactions

Award
Stock Option
2006-10-02$71.89/sh+325,000$23,365,875→ 325,000 total
Exercise: $71.89From: 2008-10-02Exp: 2016-10-02→ Common Stock (325,000 underlying)

Holdings

Stock Option
Exercise: $40.30From: 2004-11-20Exp: 2012-11-20→ Common Stock (350,000 underlying)
350,000
Common Stock
(indirect: By 401(k))
15,508.262
Phantom Stock Units/LTPP
→ Common Stock (54,774.392 underlying)
54,774.392
Common Stock
(indirect: By Trust)
125,335
Phantom Stock Units/Excess Benefit Plan - Common
→ Common Stock (34,784.585 underlying)
34,784.585
Common Stock
(indirect: By Trust)
126,220
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (218,442.712 underlying)
218,442.712
Stock Option
Exercise: $52.55From: 2005-11-19Exp: 2013-11-19→ Common Stock (400,000 underlying)
400,000

Footnotes (10)

[F1]The number of underlying securities is based on the stock fund balance on 9/29/2006. 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 9/29/2006 stock fund price of $71.74 per share.
[F10]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
[F2]Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The restricted stock units were accrued under the Johnson Controls Restricted Stock Plan. The units are to be settled 100% in cash upon the reporting person's termination of employment with the company.
[F3]The phantom stock units were accrued under the Johnson Controls Restricted Stock Deferral Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
[F4]Includes 2,384.499 phantom stock units acquired through the Company Match and the reinvestment of dividends on March 31, June 30 and September 29, 2006, at prices ranging from $71.74 - $82.225 per phantom stock unit.
[F5]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.
[F6]The phantom stock units were accrued under the Johnson Controls Long-Term Performance Plan and are to be settled 100% in cash upon the reporting person's retirement.
[F7]Includes 597.913 phantom stock units acquired through the reinvestment of dividends on March 31, June 30 and September 29, 2006, at prices ranging from $71.74 - $82.225 per phantom stock unit.
[F8]The phantom stock units were accrued under the Johnson Controls Equalization 401 (k) Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement.
[F9]Includes 1,937.756 phantom stock units acquired through the reinvestment of dividends on March 31, June 30 and September 29, 2006, at prices ranging from $71.74 - $82.225 per phantom stock unit.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

JOHNSON CONTROLS INC

CIK 0000053669

→

Entity typeoperating

IncorporatedWI

Related Parties

filerCIK 0000053669

Filing Metadata

Form type: 4
Filed: Oct 3, 8:00 PM ET
Accepted: Oct 4, 3:06 PM ET
Size: 19.9 KB

View on SEC.gov