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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 | ||||||||
| Employee Stock Option (Right to Buy) | $ 24.87 | 10/01/2009 | A | 48,000 | 10/01/2011(3) | 10/01/2019 | Common Stock | 48,000 | $ 0 | 48,000 | D | ||||
| Phantom Stock Units - Long-Term Incentive Plan | (4) | (5) | (5) | Common Stock | 5,188.573 | 5,188.573 (6) | D | ||||||||
| Phantom Stock Units - Retirement Restoration Plan | (4) | (7) | (7) | Common Stock | 10,641.216 | 10,641.216 (8) | D | ||||||||
| Phantom Stock Units - Restricted Stock Grant | (9) | (9) | (9) | Common Stock | 22,244.257 | 22,244.257 (10) | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 20.5633 | 11/17/2006 | 11/17/2014 | Common Stock | 24,000 | 24,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 22.5617 | 11/16/2007 | 11/16/2015 | Common Stock | 60,000 | 60,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 23.965 | 10/02/2008 | 10/02/2016 | Common Stock | 48,000 | 48,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 40.21 | 10/01/2009(3) | 10/01/2017 | Common Stock | 36,000 | 36,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 28.79 | 10/01/2010(3) | 10/01/2018 | Common Stock | 48,000 | 48,000 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| VOLTOLINA FRANK A 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
Vice President and Treasurer | |||
| Angela M. Blair, Attorney-in-fact for Frank A. Voltolina | 10/05/2009 | |
| **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) | Includes 1,138.607 shares acquired through the reinvestment of dividends on October 2, 2008, January 5, April 2 and July 2, 2009, at prices ranging from $15.17 to $27.32 per share. |
| (2) | The number of underlying securities is based on the stock fund balance on September 30, 2009. 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 30, 2009, stock fund price of $25.56 per share and includes a company match of 522.33 shares. |
| (3) | Fifty percent of the options vest after two years and the remaining 50% vests after three years. |
| (4) | 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. |
| (5) | 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. |
| (6) | Includes 162.962 phantom stock units acquired through the reinvestment of dividends on October 2, 2008, January 5, April 2, July 2, and October 2, 2009, at prices ranging from $15.02 to $27.18 per phantom stock unit. |
| (7) | The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan and 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 once the limit has been reached in the 401(k) Plan. The Retirement Restoration Plan mirrors the company's broad-based 401(k) Plan. |
| (8) | Includes 1,397.381 phantom stock units acquired through the reinvestment of dividends on October 2, 2008, January 5, April 2, July 2, and October 2, 2009, at prices ranging from $15.02 to $27.18 per phantom stock unit and a company match of 1,101.25 phantom stock units. The plan mirrors the company's 401(k) plan. |
| (9) | 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 and will be paid to the reporting person upon termination of employment with the company, pending vesting. |
| (10) | Includes 698.645 phantom stock units acquired through the reinvestment of dividends on October 2, 2008, January 5, April 2, July 2, and October 2, 2009, at prices ranging from $15.02 to $27.18 per phantom stock unit. |