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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 | 110,000 | 10/01/2011(4) | 10/01/2019 | Common Stock | 110,000 | $ 0 | 110,000 | D | ||||
| Phantom Stock Units/Retirement Restoration Plan | (5) | (6) | (6) | Common Stock | 956.354 | 956.354 (7) | D | ||||||||
| Phanton Stock Units/ Restricted Stock Grant | (5) | (8) | (8) | Common Stock | 20,011.414 | 20,011.414 (9) | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 17.5167 | 11/19/2005 | 11/19/2013 | Common Stock | 138,000 | 138,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 20.5633 | 11/17/2006 | 11/17/2014 | Common Stock | 138,000 | 138,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 22.5617 | 11/16/2007 | 11/16/2015 | Common Stock | 123,000 | 123,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 23.965 | 10/02/2008 | 10/02/2016 | Common Stock | 120,000 | 120,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 40.21 | 10/01/2009(4) | 10/01/2017 | Common Stock | 75,000 | 75,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 28.79 | 10/01/2010(4) | 10/01/2018 | Common Stock | 110,000 | 110,000 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| DAVIS SUSAN F 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
Executive Vice President | |||
| Angela M. Blair, Attorney-in-Fact for Susan F. Davis | 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 18,000 shares of restricted stock grants: 10,500 shares vest on 1/3/10 and 7,500 shares vest on 8/1/11. |
| (2) | Includes 11.506 shares of stock acquired through the reinvestment of dividends on April 2, July 2, and October 2, 2009, at prices ranging from $15.17 to $24.0611 per share. |
| (3) | 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 on 4/1/2009. |
| (4) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |
| (5) | 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 from the company and may be transferred by the reporting person into an alternative investment account at any time. |
| (6) | 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. |
| (7) | Includes 19.251 phantom stock units acquired through the reinvestment of dividends on April 2, July 2, and October 2, 2009, at prices ranging from $15.02 to $23.77 per phantom stock unit. |
| (8) | The phantom stock units accrued under the Johnson Controls Deferred Restricted Stock Plan and are to be settled 100% in cash, pending vesting, upon the reporting person's retirement or a withdrawal pursuant to Regulation 409(A). The exception is the vesting of dividends on restricted stock that is not deferred. The dividends will vest when the non-deferred restricted shares vest and will be paid in cash to the reporting person. |
| (9) | Includes 765.180 phantom stock units acquired through the reinvestment of dividends on April 2, July 2, and October 2, 2009, at prices ranging from $15.02 to $23.77 per phantom stock unit. |