4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001205049-06-000004
CIK 0000053669operating
Filed
Oct 3, 8:00 PM ET
Accepted
Oct 4, 7:26 PM ET
Size
14.5 KB
Accession
0001205049-06-000004
Insider Transaction Report
Form 4
ZUTZ DENISE M
Vice President
Transactions
- Award
Stock Option
2006-10-02$71.89/sh+25,000$1,797,375→ 25,000 totalExercise: $71.89From: 2008-10-02Exp: 2015-11-16→ Common Stock (25,000 underlying)
Holdings
- 233.227
Phantom Stock Units / Restricted Stock Plan
→ Common Stock (233.227 underlying) - 66,730
Common Stock
- 8,851.26(indirect: By Trust)
Common Stock
- 18,000
Stock Option
Exercise: $61.69From: 2006-11-17Exp: 2014-11-17→ Common Stock (18,000 underlying) - 32,000
Stock Option
Exercise: $67.69From: 2007-11-16Exp: 2015-11-16→ Common Stock (32,000 underlying) - 2,960.979
Phantom Stock Units / Excess Benefit Plan
→ Common Stock (2,960.979 underlying)
Footnotes (7)
- [F1]The number of underlying securities is based on the stock fund balance on September 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 a September 29, 2006, stock fund price of $71.74 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 Equalization 401(k) Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement.
- [F4]Includes 32.321phantom stock units acquired through reinvestment of dividends on March 31, June 30, and September 29, 2006, at prices ranging from $71.74 to $82.255 per phantom unit.
- [F5]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 represent the reinvestment of dividends and are to be settled 100% in cash upon the vesting of the reporting person's Restricted Stock.
- [F6]Includes 107.162 phantom stock units acquired through reinvestment of dividends on March 31, June 30, and September 29, 2006, at prices ranging from $71.74 to $82.255 per phantom unit.
- [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
- Oct 3, 8:00 PM ET
- Accepted
- Oct 4, 7:26 PM ET
- Size
- 14.5 KB