4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001205045-07-000007
CIK 0000053669operating
Filed
Jun 4, 8:00 PM ET
Accepted
Jun 5, 10:17 AM ET
Size
23.7 KB
Accession
0001205045-07-000007
Insider Transaction Report
Form 4
VALANJU SUBHASH S
Vice President and CIO
Transactions
- Award
Common Stock
2007-06-01$110.84/sh+18.044$2,000→ 5,666.38 total
Holdings
- 10,000
Stock Option
Exercise: $28.89From: 2000-11-18Exp: 2008-11-18→ Common Stock (10,000 underlying) - 6,441.483(indirect: By Trust)
Common Stock
- 2,611.415
Phantom Stock Units - Long-Term Incentive Plan
→ Common Stock (2,611.415 underlying) - 14,000
Stock Option
Exercise: $29.20From: 2001-11-17Exp: 2009-11-17→ Common Stock (14,000 underlying) - 22,666.9
Phantom Stock Units - Annual Incentive Plan
→ Common Stock (22,666.9 underlying) - 30,000
Stock Option
Exercise: $28.42From: 2002-11-15Exp: 2010-11-15→ Common Stock (30,000 underlying) - 1,898.245
Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (1,898.245 underlying) - 20,000
Stock Option
Exercise: $67.69From: 2007-11-16Exp: 2015-11-16→ Common Stock (20,000 underlying) - 16,000
Stock Option
Exercise: $71.89From: 2008-10-02Exp: 2016-10-02→ Common Stock (16,000 underlying) - 22,000
Stock Option
Exercise: $40.12From: 2003-11-14Exp: 2011-11-14→ Common Stock (22,000 underlying) - 24,000
Stock Option
Exercise: $40.30From: 2004-11-20Exp: 2012-11-20→ Common Stock (24,000 underlying) - 21,000
Stock Option
Exercise: $61.69From: 2006-11-17Exp: 2014-11-17→ Common Stock (21,000 underlying)
Footnotes (7)
- [F1]Prior transaction was mistakenly reported twice. A duplicative Form 4 was filed for the May 1, 2007 transaction on June 4, 2007. It was intended to file this Form 4 for the June 1, 2007, transaction when the May 1 form was inadvertently filed resulting in a duplicate May 1 filing entering the EDGAR Filing System.
- [F2]The number of underlying securities is based on the stock fund balance on June 1, 2007. 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 June 1, 2007, stock fund price of $109.49 per share.
- [F3]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.
- [F4]The phantom stock units were accrued under the Johnson Controls Annual Incentive Compensation 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 Long-Term Incentive Plan and are to be settled 100% in cash upon the reporting person's termination.
- [F6]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.
- [F7]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeoperating
IncorporatedWI
Related Parties
1- filerCIK 0000053669
Filing Metadata
- Form type
- 4
- Filed
- Jun 4, 8:00 PM ET
- Accepted
- Jun 5, 10:17 AM ET
- Size
- 23.7 KB