|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
| |||||||||||||||||||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Phantom Stock Units/Long-Term Incentive Plan | (2) | (3) | (3) | Common Stock | 68,726.79 | 68,726.79 (4) | D | ||||||||
| Phantom Stock Units / Excess Benefit Plan-Common | (2) | (5) | (5) | Common Stock | 16,565.446 | 16,565.446 (6) | D | ||||||||
| Phantom Stock Units/Restricted Stock Grant | (7) | 11/01/2007 | A | 36,000 (8) | (7) | (7) | Common Stock | 36,000 | $ 42.07 | 127,808.625 (9) | D | ||||
| Stock Option | $ 13.3533 (11) | 11/26/2003 | 11/26/2011 | Common Stock | 180,000 | 180,000 (11) | D | ||||||||
| Stock Option | $ 13.4325 (12) | 11/20/2004 | 11/20/2012 | Common Stock | 60,000 | 60,000 (12) | D | ||||||||
| Stock Option | $ 17.5167 (13) | 11/19/2005 | 11/19/2013 | Common Stock | 72,000 | 72,000 (13) | D | ||||||||
| Stock Option | $ 20.5633 (14) | 11/17/2006(10) | 11/17/2014 | Common Stock | 150,000 | 150,000 (14) | D | ||||||||
| Stock Option | $ 22.5617 (15) | 11/16/2007(10) | 11/16/2015 | Common Stock | 225,000 | 225,000 (15) | D | ||||||||
| Stock Option | $ 23.965 (16) | 10/02/2008(10) | 10/02/2016 | Common Stock | 192,000 | 192,000 (16) | D | ||||||||
| Stock Option | $ 40.21 (17) | 10/01/2009(10) | 10/01/2017 | Common Stock | 120,000 | 120,000 (17) | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| MCDONALD R BRUCE 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
Exec Vice President & CFO | |||
| Arlene D. Gumm Attorney-In-Fact for R. Bruce McDonald | 11/02/2007 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | 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 8229.4698 shares acquired as the result of the 3-for-1 stock split of Johnson Controls common stock on October 2, 2007. |
| (2) | 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. |
| (3) | 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 of employment with the company. |
| (4) | Includes 189.108 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 45,691.788 additional phantom stock units. |
| (5) | Phantom stock units accrued under the Johnson Controls Equalization 401(k) Benefit Plan are to be settled 100% in cash upon the reporting person's termination of employment with the company. Phantom stock units accrue in the plan through monthly payroll deductions and the plan mirrors the company's broad-based 401(k) Plan. |
| (6) | Includes 152.006 phantom stock units acquired through reinvestment of dividends on October 2, 2007, and employee payroll deductions 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 10,928.96 additional phantom stock units. |
| (7) | Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The restricted stock units were awarded under the Johnson Controls Executive Deferred Restricted Plan. The units are to be settled 100% in cash upon the reporting person's termination of employment with the company, subject to vesting provisions. |
| (8) | 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. Reporting person elected to defer receipt. |
| (9) | Includes 252.621 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 61,037.336 additional phantom stock units. |
| (10) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |
| (11) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 120,000 additional options. The option price changed from $40.06 to $13.3533. |
| (12) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 40,000 additional options. The option price changed from $40.2975 to $13.4325. |
| (13) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 48,000 additional options. The option price changed from $52.55 to $17.5167. |
| (14) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 100,000 additional options. The option price changed from $61.69 to $20.5633. |
| (15) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 150,000 additional options. The option price changed from $67.695 to $22.5617. |
| (16) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 128,000 additional options. The option price changed from $71.895 to $23.965. |
| (17) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 80,000 additional options. The option price changed from $120.63 to $40.21. |