| 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) 01/03/2006 | ||||||||||||||||||||||||||
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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 | 01/03/2006 | A | 10,000(1) | A | $74.1 | 20,000 | D | |||
| Common Stock | 01/03/2006 | M | 165.808 | A | $74.1 | 20,165.808 | D | |||
| Common Stock | 01/03/2006 | D | 165.808 | D | $74.1 | 20,000 | D | |||
| Common Stock | 01/03/2006 | F | 1,738 | D | $74.1 | 18,262 | D | |||
| Common Stock | 12,880.734(2) | I | By 401(k) Plan Trust | |||||||
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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 | ||||||||
| Phantom Stock Units - EICP Plan | (3) | (4) | (4) | Common Stock | 2,580.483 | 2,580.483(5) | D | ||||||||
| Phantom Stock Units - LTPP Plan | (3) | (6) | (6) | Common Stock | 616.247 | 616.247(7) | D | ||||||||
| Phantom Stock Units /Excess Benefits Plan | (3) | (8) | (8) | Common Stock | 132.309 | 132.309(9) | D | ||||||||
| Phantom Stock Units - Restricted Stock Plan | (3) | 01/03/2006 | M | 165.808 | (10) | (10) | Common Stock | 165.808 | $74.1 | 165.808(11) | D | ||||
| Stock Option | $40.115 | 11/14/2003 | 11/14/2011 | Common Stock | 7,600 | 7,600 | D | ||||||||
| Stock Option | $40.2975 | 11/20/2004 | 11/20/2012 | Common Stock | 9,120 | 9,120 | D | ||||||||
| Stock Option | $52.55 | 11/19/2005(12) | 11/19/2013 | Common Stock | 9,350 | 9,650 | D | ||||||||
| Stock Option | $61.69 | 11/17/2006(12) | 11/17/2014 | Common Stock | 28,000 | 28,000 | D | ||||||||
| Stock Option | $67.685 | 11/16/2007(12) | 11/16/2015 | Common Stock | 40,000 | 40,000 | D | ||||||||
| Explanation of Responses: |
| 1. Award of a restricted stock grant. Fifty percent is released from restriction in two years and 50% in four years. |
| 2. The number of underlying securities is based on the stock fund balance on January 4, 2006. 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 a January 4, 2006 stock fund price of $75.17 per share. |
| 3. The phantom stock units convert to the common stock's cash value on a one-for-one basis. |
| 4. The phantom stock units were accrued under the Johnson Controls Executive Incentive Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement. |
| 5. Includes 9.716 phantom stock units acquired through reinvestment of dividends on January 3, 2006, at a price of $74.10 per phantom unit. |
| 6. The phantom stock units were accrued under the Johnson Controls Long-Term Performance Plan and are to be settled 100% in cash upon the reporting person's retirement. |
| 7. Includes 2.318 phantom stock units acquired through reinvestment of dividends on January 3, 2006, at a price of $74.10 per phantom unit. |
| 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 .498 phantom stock units acquired through reinvestment of dividends on January 3, 2006, at a price of $74.10 per phantom unit. |
| 10. The restricted stock units were accrued under the Johnson Controls Restricted Stock Plan. The units represent the reinvestment of dividends and are to be settled 100% in cash upon the vesting of the reporting person's Restricted Stock Grant. |
| 11. Includes 38.893 phantom stock units acquired through reinvestment of dividends on January 3, 2006, at a price of $74.10 |
| 12. Fifty percent of the options vest after two years and the remaining 50% vests after three years. |
| Remarks: |
| Arlene D. Gumm, Attorney-in-Fact for Alex A. Molinaroli | 01/05/2006 | |
| ** 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. | ||