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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/Excess Benefit Plan-Common | (6) | (7) | (7) | Common Stock | 36,779.943 | 36,779.943 (8) | D | ||||||||
| Phantom Stock Units/LTPP | (6) | (9) | (9) | Common Stock | 32,939.37 | 32,939.37 (10) | D | ||||||||
| Phantom Stock Units/Restricted Stock Grant | (11) | (11) | (11) | Common Stock | 6,168.915 | 6,168.915 (12) | D | ||||||||
| Stock Option | $ 17.5167 (14) | 11/19/2005 | 11/19/2013 | Common Stock | 420,000 | 420,000 (14) | D | ||||||||
| Stock Option | $ 20.5633 (15) | 11/17/2006(13) | 11/17/2014 | Common Stock | 300,000 | 300,000 (15) | D | ||||||||
| Stock Option | $ 22.5617 (16) | 11/16/2007(13) | 11/16/2015 | Common Stock | 375,000 | 375,000 (16) | D | ||||||||
| Stock Option | $ 23.965 (17) | 10/02/2008(13) | 10/02/2016 | Common Stock | 288,000 | 288,000 (17) | D | ||||||||
| Stock Option | $ 40.21 (18) | 10/01/2009(13) | 10/01/2017 | Common Stock | 180,000 | 180,000 (18) | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| WANDELL KEITH E 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
President and COO | |||
| Arlene D. Gumm Attorney-In-Fact for Keith E. Wandell | 11/05/2007 | |
| **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) | Award of a restricted stock grant. Fifty percent vests in two years and the balance after four years, contingent upon continued employment with the company. |
| (2) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 150,800 additional shares of common stock. |
| (3) | Includes 256,500 shares awarded under a Restricted Stock Plan. Restricted shares vest as follows (numbers are post-split): 54,000 on 1/2/2008; 60,000 on 1/3/2008; 37,500 on 11/1/2009 (new grant), 60,000 shares on 1/3/2010, 7,500 shares on 8/1/2011 and 37,500 shares on 11/1/2011 (new grant). |
| (4) | The number of underlying securities is based on the stock fund balance on October 31, 2007. 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 October 31, 2007, stock fund price of $43.72 per share. This also includes 289.1382 shares acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (5) | This number includes 704 shares acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (6) | 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. |
| (7) | 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 termination of employment. |
| (8) | Includes 101.202 phantom stock units acquired through the reinvestment of dividends on October 2, 2007, at a price of $39.8667 per phantom stock unit. This number also includes 24,452.494 phantom stock units acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (9) | 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 termination of employment. |
| (10) | Includes 90.636 phantom stock units acquired through the reinvestment of dividends on October 2, 2007, at a price of $39.8667 per phantom stock unit. This number also includes 21,899.156 phantom stock units acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (11) | Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. 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. |
| (12) | Includes 516.390 phantom stock units acquired through the reinvestment of dividends on October 2, 2007, at a price of $39.8667 per phantom stock unit. This number also includes 3,768.35 phantom stock units acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (13) | Fifty percent of the stock option vests in two years and the balance after three years. |
| (14) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 280,000 additional options. The option price changed from $52.55 to $17.5167. |
| (15) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 200,000 additional options. The option price changed from $61.69 to $20.5633. |
| (16) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 250,000 additional options. The option price changed from $67.685 to $22.5617. |
| (17) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 192,000 additional options. The option price changed from $71.895 to $23.965. |
| (18) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 120,000 additional options. The option price changed from $120.63 to $40.21. |