X0304 4 2011-11-01 0000053669 JOHNSON CONTROLS INC JCI 0001292878 Edwards Jeffrey S 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201-0591 0 1 0 0 Vice President Common Stock 2011-11-01 4 M 0 369.637 31.17 A 77444.928 D Common Stock 2011-11-01 4 D 0 369.637 31.17 D 77075.291 D Common Stock 2011-11-01 4 F 0 1836 31.17 D 75239.29 D Common Stock 2011-11-02 4 M 0 53.593 31.75 A 75292.88 D Common Stock 2011-11-02 4 D 0 53.593 31.75 D 75239.29 D Common Stock 2011-11-02 4 F 0 612 31.75 D 74630.476 D Common Stock 11312.328 I By 401(k) Plan Trust Phantom Stock Units - Restricted Stock 2011-11-01 4 M 0 369.637 31.17 D Common Stock 369.637 149.352 D Phantom Stock Units - Restricted Stock 2011-11-02 4 M 0 53.593 31.75 D Common Stock 53.593 95.759 D Phantom Stock Units - Retirement Restoration Plan Common Stock 1305.501 1305.501 D Phantom Stock Units - Annual Incentive Plan Common Stock 12971.378 12971.378 D Employee Stock Option (Right to Buy) 17.5167 2005-11-19 2013-11-19 Common Stock 60000 60000 D Employee Stock Option (Right to Buy) 20.5633 2006-11-17 2014-11-17 Common Stock 90000 90000 D Employee Stock Option (Right to Buy) 22.5617 2007-11-16 2015-11-16 Common Stock 150000 150000 D Employee Stock Option (Right to Buy) 23.965 2008-10-02 2016-10-02 Common Stock 60000 60000 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 45000 45000 D Employee Stock Option (Right to Buy) 24.87 2011-10-01 2019-10-01 Common Stock 45000 45000 D Employee Stock Option (Right to Buy) 30.54 2012-10-01 2020-10-01 Common Stock 33000 33000 D Employee Stock Option (Right to Buy) 28.54 2013-10-07 2021-10-07 Common Stock 28000 28000 D Includes the following previously granted shares of restricted stock: 1,500 which vest on November 2, 2011, 1,200 which vest on November 1, 2012, 1,250 which vest on October 7, 2013, 1,500 which vest on November 4, 2013, 1,200 which vest on November 3, 2014, and 1,250 which vest on October 7, 2015. All vesting is subject to continuous employment with the issuer. Includes the following previously granted shares of restricted stock: 1,200 which vest on November 1, 2012, 1,250 which vest on October 7, 2013, 1,500 which vest on November 4, 2013, 1,200 which vest on November 3, 2014, and 1,250 which vest on October 7, 2015. All vesting is subject to continuous employment with the issuer. Includes 3.185 shares acquired under the issuer's dividend reinvestment and common stock purchase plan since the reporting person's last report. These shares were acquired pursuant to the employee stock purchase plan provisions of the dividend reinvestment and common stock purchase plan, which acquisitions are exempt from Section 16. 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 unit 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 dividends which relate to unvested, non-deferred restricted stock awards, 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 service with the issuer and may be transferred into an alternative investment account. The phantom stock units were accrued under the Johnson Controls Annual Incentive Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or other termination of service with the issuer and may be transferred into an alternative investment account. 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 Jeffrey S. Edwards 2011-11-03