SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SOMMA RANDE S

(Last) (First) (Middle)
JOHNSON CONTROLS, INC.
49200 HALYARD DRIVE

(Street)
PLYMOUTH MI 48170

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
JOHNSON CONTROLS INC [ JCI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President
3. Date of Earliest Transaction (Month/Day/Year)
01/05/2004
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/05/2004 S 14,000 D $58.5 14,000(1) D
Common Stock 4,279.108(2)(3) I By 401(k) Plan Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: 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/Excess Benefit Plan-Common $0(4) (5) (5) Common Stock 7,278 7,278(6) D
Phantom Stock Units/Long-Term Performance Plan (4) (7) (7) Common Stock 5,540.94 5,540.94(8)(9) D
Explanation of Responses:
1. On January 2, 2004, the reporting person had a beneficial ownership in 14,000 shares of the common stock of Johnson Controls, Inc.. On January 2, 2004, Johnson Controls common stock split 2-for-1, resulting in the reporting person's acquisition of 14,0000 additional shares.
2. The 1,069.777 units of Johnson Controls preferred stock were converted to common stock at the ratio of 2:1 on 12/31/2003 by the trustee of the plan. On January 2, 2004, the common stock was subject to a 2-for-1 stock split, which resulted in the acquisition of an additional 2,139.554 shares.
3. The number of underlying securities is based on the stock fund balance on 1/4/2004. 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 1/4/2004 stock fund price of $59.31 per share.
4. The phantom stock units convert to the common stock's cash value on a one-for-one basis.
5. The phantom stock units were accrued under the Johnson Controls Equalization 401(k) Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement.
6. The 1,033.052 shares of the Johnson Controls preferred stock units were converted to common stock units at the ratio of 2:1 on 12/31/2003 by the trustee of the plan. On January 2, 2004, the common stock was subject to a 2-for-1 stock split, which resulted in the acquisition of an additional 3,639.914 shares of phantom stock units.
7. The phantom stock units were accrued under the Johnson Controls Long-Term Performance Plan and are to be settled 100% in cash upon the reporting person's retirement.
8. Pursuant to dividend reinvestment transactions exempt from Section 16 under 16(a)11, the reporting person acquired 21.48 phantom stock units on January 2, 2004, at a price of $57.80 per unit.
9. On January 2, 2004, Johnson Controls common stock split 2-for-1, resulting in the reporting person's acquisition of 2,759.73 additional units.
Remarks:
Arlene D. Gumm Attorney-In-Fact for Rande S. Somma 01/07/2004
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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