| 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) 08/01/2011 | ||||||||||||||||||||||||||
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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 | 08/01/2011 | F | 2,310 | D | $37.51 | 134,898.853(1)(2) | D | |||
| Common Stock | 08/01/2011 | M | 706.042 | A | $37.51 | 135,604.895(1)(2) | D | |||
| Common Stock | 08/01/2011 | D | 706.042 | D | $37.51 | 134,898.853(1)(2) | D | |||
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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/Restricted Stock Grant | (3) | 08/01/2011 | M | 706.042 | (3) | (3) | Common Stock | 706.042 | $37.51 | 2,088.52(4)(5) | D | ||||
| Stock Appreciation Rights | $20.5633 | 11/17/2006 | 11/17/2014 | Common Stock | 15,000 | 15,000 | D | ||||||||
| Stock Appreciation Rights | $22.5617 | 11/16/2007 | 11/16/2015 | Common Stock | 150,000 | 150,000 | D | ||||||||
| Stock Appreciation Rights | $23.965 | 10/02/2008 | 10/02/2016 | Common Stock | 192,000 | 192,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $40.21 | 10/01/2009 | 10/01/2017 | Common Stock | 120,000 | 120,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $28.79 | 10/01/2010(6) | 10/01/2018 | Common Stock | 160,000 | 160,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $24.87 | 10/01/2011(6) | 10/01/2019 | Common Stock | 170,000 | 170,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $30.54 | 10/01/2012(6) | 10/01/2020 | Common Stock | 150,000 | 150,000 | D | ||||||||
| Explanation of Responses: |
| 1. Includes the following shares of previously granted restricted stock: 15,000 which will vest on November 1, 2011; 12,000 which will vest on November 1, 2012; 11,250 which will vest on November 2, 2011; 11,250 which will vest on November 2, 2013; and 12,000 which will vest on November 1, 2014. All vesting is subject to continuous employment with the issuer. |
| 2. Includes 784.809 shares acquired through the reinvestment of dividends on January 4, April 4, and July 5, 2011, at prices ranging from $39.585 to$42.569 per share. |
| 3. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. |
| 4. 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. |
| 5. Includes 829.997 phantom stock units acquired through the reinvestment of dividends on January 4, April 4, and July 5, 2011 at prices ranging from $39.68 to $42.25 per phantom stock unit. |
| 6. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |
| Remarks: |
| Angela M. Blair, Attorney-in-fact for Beda Bolzenius | 08/02/2011 | |
| ** 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. | ||