X0303 4 2010-10-29 0000053669 JOHNSON CONTROLS INC JCI 0001344887 Harvey Charles A 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE WI 53201-0591 0 1 0 0 Vice President Common Stock 2010-10-29 4 M 0 40698 17.5167 A 78695.329 D Common Stock 2010-10-29 4 S 0 40698 35.1128 D 37997.33 D Common Stock 2010-10-29 4 G 0 713 0 D 37284.329 D Common Stock 7655.472 I By 401(k) Plan Trust Employee Stock Option (Right to Buy) 17.5167 2010-10-29 4 M 0 40698 0 D 2005-11-19 2013-11-19 Common Stock 40698 0 D Phantom Stock Units - Restricted Stock Plan 2010-11-01 4 A 0 5200 0 A 2012-11-01 2014-11-01 Common Stock 5200 12101.557 D Phantom Stock Units/Annual Incentive Plan Common Stock 2797.019 2797.019 D Employee Stock Option (Right to Buy) 20.5633 2006-11-17 2014-11-17 Common Stock 35700 35700 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 42000 42000 D Employee Stock Option (Right to Buy) 28.79 2010-10-01 2018-10-01 Common Sstock 54000 54000 D Employee Stock Option (Right to Buy) 30.54 2012-10-01 2020-10-01 Common Stock 40000 40000 D Includes 4,500 shares of restricted stock which vest on November 1, 2011. Includes 90.802 shares acquired via the reinvestment of dividends on October 4, 2010 at $30.2876 per share, and 82.542 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 price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.01 to $35.1813, inclusive. The reporting person undertakes to provide to the issuer, any shareholder of the issuer, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. The number of underlying securities is based on the stock fund balance on October 29, 2010. 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 29, 2010, stock fund price of $35.12 per share. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The phantom stock balance includes an award of 5,200 restricted stock units granted on November 1, 2010, which vest as follows: 2,600 on November 1, 2012, and 2,600 on November 1, 2014. The phantom stock units representing the award, and the dividends which accrue during the restrictive period, are to be settled 100% in cash, pending vesting. The phantom stock units representing dividends which relate to restricted stock awards that were not deferred will vest when the non-deferred restricted shares vest, and will be paid in cash to the reporting person. Phantom stock units representing dividends which relate to vested deferred awards are payable in cash following the reporting person's retirement from the issuer and may be transferred into an alternative investment account. Vesting continues when the reporting person retires from the issuer. The phantom stock units were accrued under the Johnson Controls Annual Incentive Plan and are to be settled 100% in cash upon 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. 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 Charles A. Harvey 2010-11-02