SEC Form 4
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*
Molinaroli Alex A

(Last) (First) (Middle)
5757 N. GREEN BAY AVENUE
P.O. BOX 591

(Street)
MILWAUKEE WI 53201

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
JOHNSON CONTROLS INC [ JCI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President
3. Date of Earliest Transaction (Month/Day/Year)
09/12/2011
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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 09/12/2011 S 5,048 D $28.4(1) 32,250(2) D
Common Stock 45,315.863(3) I By 401(k) Plan Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 - Retirement Restoration Plan (4) (5) (5) Common Stock 14,448.095 14,448.095(6) D
Phantom Stock Units - Annual Incentive Plan (4) (7) (7) Common Stock 22,463.88 22,463.88(8) D
Phantom Stock Units - Long-Term Incentive Plan (4) (9) (9) Common Stock 8,883.787 8,883.787(10) D
Phantom Stock Units - Restricted Stock Plan (4) 11/01/2012(11) 11/01/2014(11) Common Stock 36,986.974 36,986.974(12)(13) D
Employee Stock Option (Right to Buy) $23.965 10/02/2008 10/02/2016 Common Stock 90,000 90,000 D
Employee Stock Option (Right to Buy) $40.21 10/01/2009 10/01/2017 Common Stock 90,000 90,000 D
Employee Stock Option (Right to Buy) $28.79 10/01/2010(14) 10/01/2018 Common Stock 145,000 145,000 D
Employee Stock Option (Right to Buy) $24.87 10/01/2011(14) 10/01/2019 Common Stock 155,000 155,000 D
Employee Stock Option (Right to Buy) $30.54 10/01/2012(14) 10/01/2020 Common Stock 135,000 135,000 D
Explanation of Responses:
1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $28.33 to $28.46, inclusive. The reporting person undertakes to provide to Johnson Controls, any security holder of Johnson Controls, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.
2. Includes the following shares of previously granted restricted stock which vest as follows: 9,750 on 11/1/2011, 11,250 on 11/2/2011 and 11,250 on 11/2/2013. The vesting of all shares of restricted stock is subject to continuous employment with the issuer.
3. The number of underlying securities is based on the stock fund balance on September 9, 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 a September 9, 2011, stock fund price of $28.90 per share, and includes a company match of 262.063 shares on February 17, 2011 at $42.07 per share.
4. Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
5. The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan, and are to be settled 100% in cash following the reporting person's termination of employment with the company.
6. Includes 167.030 phantom stock units acquired through the reinvestment of dividends on January 4, April 5 and July 5, 2011, at prices ranging from $39.68 to $42.25 per phantom stock unit.
7. The phantom stock units were accrued under the Johnson Controls Annual Incentive Plan and are to be settled 100% in cash following the reporting person's termination of employment with the company.
8. Includes 230.732 phantom stock units acquired through the reinvestment of dividends on January 4, April 5 and July 5, 2011, at prices ranging from $39.68 to $42.25 per phantom stock unit.
9. The phantom stock units were accrued under the Johnson Controls Long-Term Incentive Plan and are to be settled 100% in cash following the reporting person's termination of employment with the company.
10. Includes 94.197 phantom stock units acquired through the reinvestment of dividends on January 4, April 5 and July 5, 2011, at prices ranging from $39.68 to $42.25 per phantom stock unit.
11. The restricted stock units were awarded under the Johnson Controls Executive Deferred Compensation Plan, and are to be settled 100% in cash upon the reporting person's termination from the issuer, subject to vesting provisions.
12. 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 termination from the issuer and may be transferred into an alternative investment account. Vesting continues when the reporting person retires from the issuer.
13. Includes 800.43 phantom stock units acquired through the reinvestment of dividends on January 4, April 5 and July 5, 2011, at prices ranging from $39.68 to $42.25 per phantom stock unit.
14. Fifty percent of the options vest after two years and the remaining 50% vests after three years.
Remarks:
Angela M. Blair, Attorney-in-Fact for Alex A. Molinaroli 09/12/2011
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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