4//SEC Filing
JOHNSON CONTROLS INC 4
Accession 0001205049-07-000003
CIK 0000053669operating
Filed
Nov 4, 7:00 PM ET
Accepted
Nov 5, 12:28 PM ET
Size
18.1 KB
Accession
0001205049-07-000003
Insider Transaction Report
Form 4
ZUTZ DENISE M
Vice President
Transactions
- Award
Common Stock
2007-11-01$42.07/sh+13,500$567,945→ 213,333 total
Holdings
- 1,118.355
Phantom Stock Units / Restricted Stock Plan
→ Common Stock (1,118.355 underlying) - 8,998.437
Phantom Stock Units / Excess Benefit Plan
→ Common Stock (8,998.437 underlying) - 54,000
Stock Option
Exercise: $20.56From: 2006-11-17Exp: 2014-11-17→ Common Stock (54,000 underlying) - 96,000
Stock Option
Exercise: $22.56From: 2007-11-16Exp: 2015-11-16→ Common Stock (96,000 underlying) - 75,000
Stock Option
Exercise: $23.96From: 2008-10-02Exp: 2016-10-02→ Common Stock (75,000 underlying) - 26,677.707(indirect: By Trust)
Common Stock
- 51,000
Stock Option
Exercise: $40.21From: 2009-10-01Exp: 2017-10-01→ Common Stock (51,000 underlying)
Footnotes (13)
- [F1]Award of a restricted stock grant. Fifty percent vests in two years and the balance after four years, contingent upon continued employment with the company.
- [F10]On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 36,000 additional options. The option price changed from $61.69 to $20.5633.
- [F11]On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 64,000 additional options. The option price changed from $67.695 to $22.5617.
- [F12]On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 50,000 additional options. The option price changed from $71.895 to $23.965.
- [F13]On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 34,000 additional options. The option price changed from $120.63 to $40.21.
- [F2]On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 133,222 additional shares of common stock.
- [F3]The number of underlying securities is based on the stock fund balance on October 31, 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 31, 2007, stock fund price of $43.72 per share. This also includes 17,777.3526 shares acquired as the result of the 3-for-1 stock split of Johnson Controls common stock on October 2, 2007.
- [F4]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.
- [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 retirement.
- [F6]Includes 24.762 phantom stock units acquired through reinvestment of dividends on October 2, 2007, at a price of 39.8667 per phantom unit. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 5982.45 additional phantom stock units.
- [F7]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.
- [F8]Includes 89.754 phantom stock units acquired through reinvestment of dividends on October 2, 2007, at a price of 39.8667 per phantom unit. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 685.734 additional phantom stock units.
- [F9]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
- Nov 4, 7:00 PM ET
- Accepted
- Nov 5, 12:28 PM ET
- Size
- 18.1 KB