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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
JOHNSON CONTROLS INC [ JCI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/24/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 07/24/2003 | M | 3,300 | A | $31.8438 | 6,069.714 | D | |||
Common Stock | 07/24/2003 | D | 3,300 | D | $96.925 | 2,769.714(1) | D | |||
Common Stock | 2,823.52(2) | I | By 401(k) Plan Trust | |||||||
Preferred Stock | 1,093.9(3) | I | By 401(k) Plan ESOP Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Stock Option/Tandem SAR(4) | $31.8438 | 07/24/2003 | H(5) | 3,300 | 11/15/1997 | 11/15/2005 | Common Stock | 3,300 | $31.8438 | 0 | D | ||||
Stock Appreciation Rights/Tandem Stock Option(6) | $31.8438 | 07/24/2003 | M | 3,300 | 11/15/1997 | 11/15/2005 | Common Stock | 3,300 | $31.8438 | 0 | D | ||||
Phantom Stock Units/Excess Benefit Plan-Common | (7) | (8) | (8) | Common Stock | 263.1 | 263.1(9) | D | ||||||||
Phantom Stock Units/Excess Benefit Plan-Preferred | (7) | (8) | (8) | Preferred Stock | 296.3 | 296.3(10) | D |
Explanation of Responses: |
1. Includes 21.332 shares acquired pursuant to dividend reinvestment on 3/31/2003 and 6/30/2003 at prices of $72.44 and $85.60 per share. |
2. Includes 20.52 shares acquired pursuant to the reinvestment of dividends on 3/31/2003 and 6/30/2003 at prices of $72.44 and $85.60 per share. |
3. Includes 71.9 shares acquired pursuant to dividend reinvestment on 3/31/2003 and 6/30/2003 and a company match on 2/28/2003 at prices ranging from $144.88 to $171.20 per share. |
4. The stock option and the stock appreciation rights were granted in tandem. Accordingly, the exercise of one results in the expiration of the other. |
5. Surrender of nonqualified stock options because of the exercise of the tandem stock appreciation rights. |
6. The stock appreciation rights and the stock option were granted in tandem. Accordingly, the exercise of one results in the expiration of the other. |
7. The phantom stock units convert to the common stock's cash value on a one-for-one basis. |
8. 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. |
9. Includes 8.053 phantom stock units acquired pursuant to dividend reinvestment on 3/31/2003 and 6/30/2003 at prices ranging from $72.44 to $85.60 per unit. |
10. Includes 87.917 phantom stock units acquired pursuant to dividend reinvestment on 3/31/2003 and 6/30/2003 and a company match on 2/28/03 at prices ranging from $144.88 to $171.20 per unit. |
Remarks: |
Arlene D. Gumm Attorney-In-Fact for Jerome D. Okarma | 07/28/2003 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |