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) 03/01/2005 | ||||||||||||||||||||||||||
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 | 03/01/2005 | M | 50,000 | A | $28.4219 | 108,075.49(1) | D | |||
Common Stock | 03/01/2005 | S | 50,000 | D | $59.2634 | 58,075.49 | D | |||
Common Stock | 6,601.575(2)(3) | I | By 401(k) Plan |
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/Excess Benefit Plan-Common | (4) | (5) | (5) | Common Stock | 5,801.099 | 5,801.099(6) | D | ||||||||
Phantom Stock Units/EICP | (4) | (7) | (7) | Common Stock | 6,035.105 | 6,035.103(8) | D | ||||||||
Phantom Stock Units/LTPP | (4) | (9) | (9) | Common Stock | 11,152.523 | 11,152.523(10) | D | ||||||||
Phanton Stock Units/ Restricted Stock Grant | (4) | (11) | (11) | Common Stock | 7,475.053 | 7,475.053(12) | D | ||||||||
Stock Option | $29.2032 | 11/17/2001 | 11/17/2009 | Common Stock | 34,000 | 34,000 | D | ||||||||
Stock Option | $28.4219 | 03/01/2005 | M | 50,000 | 11/15/2002 | 11/15/2010 | Common Stock | 50,000 | $28.4219 | 0 | D | ||||
Stock Option | $40.115 | 11/14/2003 | 11/14/2011 | Common Stock | 40,000 | 40,000 | D | ||||||||
Stock Option | $40.2975 | 11/20/2004(13) | 11/20/2012 | Common Stock | 50,000 | 50,000 | D | ||||||||
Stock Option | $52.55 | 11/19/2005(13) | 11/19/2013 | Common Stock | 46,000 | 46,000 | D | ||||||||
Stock Option | $61.69 | 11/17/2006(13) | 11/17/2014 | Common Stock | 46,000 | 46,000 | D |
Explanation of Responses: |
1. Includes 52.139 shares acquired through the reinvestment of dividends on January 3, 2005, at aprice of $63.0295 per share. |
2. The number of underlying securities is based on the stock fund balance on March 1, 2005. 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 March 1, 2005, stock fund price of $59.17 per share. |
3. Includes the reinvestment of dividends on January 3, 2005, and the company match of Johnson Controls stock in the 401(k) plan. |
4. The phantom stock units convert to the common stock's cash value on a one-for-one basis. |
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. |
6. Incudes 21.449 phantom stock units acquired through reinvestment of dividends on January 3, 2005, at a price of $62.79 and 392.405 phantom units acquired through a company match which was automatically rolled into the account as of the end of February. |
7. The phantom stock units were accrued under the Johnson Controls Executive Incentive Compensation Plan and are to be settled 100% in cash upon retirement. |
8. Incudes 23.934 phantom stock units acquired through reinvestment of dividends on January 3, 2005, at a price of $62.79 per phantom unit. |
9. The phantom stock units were accrued under the Johnson Controls Long-Term Performance Plan and are to be settled 100% in cash upon retirement. |
10. Incudes 44.228 phantom stock units acquired through reinvestment of dividends on January 3, 2005, at a price of $62.79 per phantom unit. |
11. The phantom stock units were accrued under the Johnson Controls Deferred Restricted Stock Plan and are to be settled 100% in cash upon the reporting person's retirement. |
12. Incudes 63.353 phantom stock units acquired through reinvestment of dividends on January 3, 2005, at a price of $62.79 per phantom unit. |
13. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |
Remarks: |
Arlene D. GummAttorney-in-Fact for Susan F. Davis | 03/02/2005 | |
** 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. |