X0304 4 2011-11-02 0000053669 JOHNSON CONTROLS INC JCI 0001321504 Augustin Jeffrey G 5757 N GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201 0 1 0 0 Vice President Common Stock 2011-11-02 4 M 0 116.118 31.75 A 15916.118 D Common Stock 2011-11-02 4 D 0 116.118 31.75 D 15800 D Common Stock 279.4 I By 401(k) Trust Phantom Stock Units/Restricted Stock 2011-11-02 4 M 0 116.118 31.75 D Common Stock 116.118 26571.421 D Phantom Stock Units/Retirement Restoration Plan Common Stock 3305.955 3305.955 D Phantom Stock Units/Long-Term Incentive Plan Common Stock 31549.685 31549.685 D Employee Stock Option (Right to Buy) 22.5617 2007-11-16 2015-11-16 Common Stock 72000 72000 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 48000 48000 D Employee Stock Option (Right to Buy) 24.87 2011-10-01 2019-10-01 Common Stock 48000 48000 D Employee Stock Option (Right to Buy) 30.54 2012-10-01 2020-10-01 Common Stock 35000 35000 D Employee Stock Option (Right to Buy) 28.54 2013-10-07 2021-10-07 Common Stock 31500 31500 D Includes the following previously granted shares of restricted stock: 2,600 which vest on November 1, 2012, 2,050 which vest on October 7, 2013, 3,250 which vest on November 4, 2013, 2,600 which vest on November 3, 2014, and 2,050 which vest on October 7, 2015. All vesting is subject to continuous employment with the issuer. 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 (a) vested, deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon termination 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 termination, and (c) dividends which relate to unvested, non-deferred restricted stock awards, which will be settled 100% in cash upon vesting. The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan. 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 balance includes phantom stock units acquired through employee payroll contributions which are discretionary transactions and qualify for the Rule 16a-3(f)(1)(i)(B) reporting exemption. This plan mirrors the company's 401(k) Plan. These phantom share units were accrued in the Johnson Controls Long-Term Incentive Plan and are payable in cash following the reporting person's termination of employment with the company. The units may be transferred by the reporting person into an alternative investment account at any time. 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 G. Augustin 2011-11-03