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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units/Restricted Stock Grant | (5) | (5) | (5) | Common Stock | 127.123 | 127.123 (6) (7) | D | ||||||||
Stock Appreciation Rights | $ 20.5633 (9) | 11/17/2006(8) | 11/17/2014 | Common Stock | 15,000 | 15,000 (9) | D | ||||||||
Stock Appreciation Rights | $ 22.5617 (10) | 11/16/2007(8) | 11/16/2015 | Common Stock | 150,000 | 150,000 (10) | D | ||||||||
Stock Appreciation Rights | $ 23.965 (11) | 10/02/2008(8) | 10/02/2016 | Common Stock | 192,000 | 192,000 (11) | D | ||||||||
Stock Option | $ 40.21 (12) | 10/01/2009(8) | 10/01/2017 | Common Stock | 120,000 | 120,000 (12) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bolzenius Beda 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
Vice President |
Arlene D. Gumm, Attorney-in-fact for Beda Bolzenius | 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) | 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. |
(2) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 1,500 additional shares of common stock. |
(3) | Includes 24.675 pre-split shares acquired through the reinvestment of dividends on prices ranging from $28.77 to $40.69 per shares. |
(4) | The share balance includes an award of restricted stock which will vest in five years on August 1, 2011, based on continuous employment with the company. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in 5,000 additional restricted shares in the reporting person's account. |
(5) | 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. |
(6) | Includes 6.9793 pre-split phantom stock units acquired through the reinvestment of dividends on October 2, 2007, at a price of $119.60 per phantom stock unit. |
(7) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 84.7486 additional phantom stock units. |
(8) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |
(9) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 10,000 additional options. The option price changed from $61.69 to $20.5633. |
(10) | 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 $67.695 to $22.5617. |
(11) | 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. |
(12) | 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. |