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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units/Restricted Stock Grant | (2) | (3) | (3) | Common Stock | 374,165.045 | 374,165.045 | D | ||||||||
Phantom Stock Units/Excess Benefit Plan - Common | (4) | 02/12/2008 | I | 10,702.363 | (5) | (5) | Common Stock | 10,702.363 | $ 34.65 | 0 | D | ||||
Stock Option | $ 13.4325 | 11/20/2004 | 11/20/2012 | Common Stock | 1,050,000 | 1,050,000 | D | ||||||||
Stock Option | $ 17.5167 | 11/19/2005 | 11/19/2013 | Common Stock | 1,200,000 | 1,200,000 | D | ||||||||
Stock Option | $ 20.5633 | 11/17/2006 | 11/17/2014 | Common Stock | 1,200,000 | 1,200,000 | D | ||||||||
Stock Option | $ 22.5617 | 11/16/2007(6) | 11/16/2015 | Common Stock | 1,200,000 | 1,200,000 | D | ||||||||
Stock Option | $ 23.965 | 10/02/2008(6) | 10/02/2016 | Common Stock | 975,000 | 975,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BARTH JOHN M 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201 |
X |
Arlene D. Gumm, Attorney-in-fact for John M. Barth | 05/01/2008 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Filing amended to include the correct the number of securities beneficially owned. Reporting person owned 753,288 shares as of January 23, 2008 (filed on a Form 4 on Janury 24, 2008). The number originally reported on the February 12, 2008, filing inadvertenly reported the pre-Janaury 2008 holdings of 750,987. All other information is correct as filed on the original document. |
(2) | Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. Units of vested phantom stock are payable in cash following 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. Vesting continues in retirement. |
(3) | The phantom stock units were accrued under the Johnson Controls Restricted Stock Deferral Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company. |
(4) | Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. Shares of phantom stock are payable in cash following 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. The plan mirrors the company's broad-based 401(k) Plan and includes a Company match on February 11, 2008. |
(5) | 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 and may be transferred by the reporting person into an alternative investment account at any time. |
(6) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |