X0304 4 2011-11-02 0000053669 JOHNSON CONTROLS INC JCI 0001205035 DAVIS SUSAN F 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201-0591 0 1 0 0 Executive Vice President Common Stock 2011-11-02 4 M 0 7767.964 31.75 A 176318.964 D Common Stock 2011-11-02 4 D 0 7767.964 31.75 D 168551 D Common Stock 2226.772 I By 401(k) Plan Phantom Stock Units/Restricted Stock 2011-11-02 4 M 0 7767.964 31.75 D Common Stock 7767.964 54492.495 D Phantom Stock Units/Retirement Restoration Plan Common Stock 990.522 990.522 D Employee Stock Option (Right to Buy) 20.5633 2006-11-17 2014-11-17 Common Stock 138000 138000 D Employee Stock Option (Right to Buy) 22.5617 2007-11-16 2015-11-16 Common Stock 123000 123000 D Employee Stock Option (Right to Buy) 23.965 2008-10-02 2016-10-02 Common Stock 120000 120000 D Employee Stock Option (Right to Buy) 40.21 2009-10-01 2017-10-01 Common Stock 75000 75000 D Employee Stock Option (Right to Buy) 28.79 2010-10-01 2018-10-01 Common Stock 110000 110000 D Employee Stock Option (Right to Buy) 24.87 2011-10-01 2019-10-01 Common Stock 110000 110000 D Employee Stock Option (Right to Buy) 30.54 2012-10-01 2020-10-01 Common Stock 84000 84000 D Employee Stock Option (Right to Buy) 28.54 2013-10-07 2021-10-07 Common Stock 78000 78000 D The number of underlying securities is based on the stock fund balance on October 31 2011. 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 31, 2011, stock fund price of $32.93 per share. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock units representing (a) vested, deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon retirement and may be transferred into an alternative investment account, (b) unvested, deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon retirement, (c) unvested, non-deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon vesting of the award. 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. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. Angela M. Blair, Attorney-in-Fact for Susan F. Davis 2011-11-03