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) 11/02/2009 | ||||||||||||||||||||||||||
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 | 11/02/2009 | A | 22,500 | A | $24.71 | 115,866.179(1) | D | |||
Common Stock | 11/02/2009 | F | 4,620 | D | $24.71 | 111,246.179(1) | D | |||
Common Stock | 11/02/2009 | M | 672.187 | A | $24.71 | 111,918.366(1) | D | |||
Common Stock | 11/02/2009 | D | 672.187 | D | $24.71 | 111,246.179(1) | D |
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 | (2) | 11/02/2009 | M | 672.187 | (2) | (2) | Common Stock | 672.187 | $24.71 | 1,141.152 | 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(3) | 10/01/2017 | Common Stock | 120,000 | 120,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $28.79 | 10/01/2010(3) | 10/01/2018 | Common Stock | 160,000 | 160,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $24.87 | 10/01/2011(3) | 10/01/2019 | Common Stock | 170,000 | 170,000 | D |
Explanation of Responses: |
1. Includes 22,500 shares of restricted stock granted on November 2, 2009, which vest as follows: 11,250 on November 2, 2011 and 11,250 shares on November 2, 2013, and the following shares of previously granted restricted stock which vest as follows: 7,500 shares on August 1, 2011; and 15,000 shares on November 2, 2011. The vesting of all shares of restricted stock is subject to continuous employment with the issuer. |
2. Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. The restricted stock units are being accrued under the Johnson Controls Restricted Stock Plan. The units represent the reinvestment of dividends and are to be settled 100% in cash, subject to the vesting of the reporting person's restricted stock. |
3. 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 | 11/03/2009 | |
** 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. |