VALANJU SUBHASH S 4

Accession 0001205045-07-000011

CIK 0000053669other

Filed

Oct 1, 8:00 PM ET

Accepted

Oct 2, 7:46 PM ET

Size

24.7 KB

Accession

0001205045-07-000011

Form 4

Period: 2007-10-01

Vice President and CIO

Transactions

Award
Stock Option
2007-10-01+10,000→ 10,000 total
Exercise: $120.63From: 2009-10-01Exp: 2017-10-01→ Common Stock (10,000 underlying)

Holdings

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
Stock Option
Exercise: $28.89From: 2000-11-18Exp: 2008-11-18→ Common Stock (10,000 underlying)
10,000
Phantom Stock Units - Long-Term Incentive Plan
→ Common Stock (2,618.859 underlying)
2,618.859
Stock Option
Exercise: $29.20From: 2001-11-17Exp: 2009-11-17→ Common Stock (14,000 underlying)
14,000
Common Stock
(indirect: By Trust)
6,454.495
Stock Option
Exercise: $40.12From: 2003-11-14Exp: 2011-11-14→ Common Stock (22,000 underlying)
22,000
Phantom Stock Units/Excess Benefit Plan-Common
→ Common Stock (1,904.116 underlying)
1,904.116
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 (22,731.512 underlying)
22,731.512
Stock Option
Exercise: $28.42From: 2002-11-15Exp: 2010-11-15→ Common Stock (30,000 underlying)
30,000
Stock Option
Exercise: $40.30From: 2004-11-20Exp: 2012-11-20→ Common Stock (24,000 underlying)
24,000
Common Stock
5,733.474

Footnotes (6)

[F1]The number of underlying securities is based on the stock fund balance on October 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 October 1, 2007, stock fund price of $120.63 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 Annual 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 Incentive 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]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.

Documents

1 file

JOHNSON CONTROLS INC

CIK 0000053669

Entity typeother