VALANJU SUBHASH S 4

Accession 0001205045-06-000014

CIK 0000053669other

View on SEC.gov Company Profile

Filed

Dec 21, 7:00 PM ET

Accepted

Dec 22, 9:57 AM ET

Size

25.8 KB

Accession

0001205045-06-000014

Insider Transaction Report

Form 4

Period: 2006-12-21

JOHNSON CONTROLS INCJCI

VALANJU SUBHASH S

Vice President and CIO

Transactions

Sale
Common Stock
2006-12-21$86.57/sh−10,000$865,749→ 5,505.114 total
Exercise/Conversion
Stock Option
2006-12-21$29.20/sh−10,000$292,032→ 14,000 total
Exercise: $29.20From: 2001-11-17Exp: 2009-11-17→ Common Stock (10,000 underlying)
Exercise/Conversion
Common Stock
2006-12-21$29.20/sh+10,000$292,032→ 15,505.114 total

Holdings

Stock Option
Exercise: $40.12From: 2003-11-14Exp: 2011-11-14→ Common Stock (22,000 underlying)
22,000
Stock Option
Exercise: $61.69From: 2006-11-17Exp: 2014-11-17→ Common Stock (21,000 underlying)
21,000
Stock Option
Exercise: $67.69From: 2007-11-16Exp: 2015-11-16→ Common Stock (20,000 underlying)
20,000
Phantom Stock Units - LTPP Plan
→ Common Stock (2,592.378 underlying)
2,592.378
Stock Option
Exercise: $40.30From: 2004-11-20Exp: 2012-11-20→ Common Stock (24,000 underlying)
24,000
Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (1,882.664 underlying)
1,882.664
Stock Option
Exercise: $28.89From: 2000-11-18Exp: 2008-11-18→ Common Stock (10,000 underlying)
10,000
Common Stock
(indirect: By Trust)
6,409.424
Stock Option
Exercise: $71.89From: 2008-10-02Exp: 2016-10-02→ Common Stock (16,000 underlying)
16,000
Phantom Stock Units - Annual Incentive Plan
→ Common Stock (22,501.656 underlying)
22,501.656
Stock Option
Exercise: $28.42From: 2002-11-15Exp: 2010-11-15→ Common Stock (30,000 underlying)
30,000

Footnotes (7)

[F1]The number of underlying securities is based on the stock fund balance on December 21, 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 a December 21, 2006, stock fund price of $86.53 per share.
[F2]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.
[F3]The phantom stock units were accrued under the Johnson Controls Executive Incentive Compensation Plan and are to be settled 100% in cash upon the reporting person's termination.
[F4]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 termination.
[F5]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 termination of employment with the company.
[F6]Includes 45.889 phantom stock units acquired through payroll deductions in a plan that mirrors the broad-based 401(k) Plan.
[F7]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

JOHNSON CONTROLS INC

CIK 0000053669

→

Entity typeother

Related Parties

filerCIK 0001205045

Filing Metadata

Form type: 4
Filed: Dec 21, 7:00 PM ET
Accepted: Dec 22, 9:57 AM ET
Size: 25.8 KB

View on SEC.gov