X0303 4 2009-11-02 0000053669 JOHNSON CONTROLS INC JCI 0001049477 VOLTOLINA FRANK A 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201-0591 0 1 0 0 Vice President and Treasurer Common Stock 2009-11-02 4 A 0 6500 24.71 A 43029.857 D Common Stock 5791.396 I By 401(k) Plan Trust Phantom Stock Units - Long-Term Incentive Plan Common Stock 5188.573 5188.573 D Phantom Stock Units - Retirement Restoration Plan Common Stock 10674.13 10674.13 D Phantom Stock Units - Restricted Stock Grant Common Stock 22244.257 22244.257 D Employee Stock Option (Right to Buy) 20.5633 2006-11-17 2014-11-17 Common Stock 24000 24000 D Employee Stock Option (Right to Buy) 22.5617 2007-11-16 2015-11-16 Common Stock 60000 60000 D Employee Stock Option (Right to Buy) 23.965 2008-10-02 2016-10-02 Common Stock 48000 48000 D Employee Stock Option (Right to Buy) 40.21 2009-10-01 2017-10-01 Common Stock 36000 36000 D Employee Stock Option (Right to Buy) 28.79 2010-10-01 2018-10-01 Common Stock 48000 48000 D Employee Stock Option (Right to Buy) 24.87 2011-10-01 2019-10-01 Common Stock 48000 48000 D Includes 6,500 shares of restricted stock granted on November 2, 2009, of which 3,250 vest on November 2, 2011 and 3,250 vest on November 2, 2013, subject to continuous employment with the issuer. The number of underlying securities is based on the stock fund balance on October 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 an October 30, 2009, stock fund price of $23.92 per share. 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. 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. 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. 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. Fifty percent of the options vest after two years and the remaining 50% vests after three years. Angela M. Blair, Attorney-in-fact for Frank A. Voltolina 2009-11-03