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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 - Annual Incentive Plan | (5) | (6) | (6) | Common Stock | 68,382.696 | 68,382.696 (7) (8) | D | ||||||||
Phantom Stock Units - Long-Term Incentive Plan | (5) | (9) | (9) | Common Stock | 7,878.255 | 7,878.255 (10) (11) | D | ||||||||
Phantom Stock Units/Excess Benefit Plan-Common | (5) | (12) | (12) | Common Stock | 5,737.116 | 5,737.116 (13) (14) | D | ||||||||
Stock Option | $ 9.7344 | 11/17/2001 | 11/17/2009 | Common Stock | 42,000 | 42,000 (16) | D | ||||||||
Stock Option | $ 9.474 | 11/15/2002 | 11/15/2010 | Common Stock | 90,000 | 90,000 (17) | D | ||||||||
Stock Option | $ 13.3717 | 11/14/2003 | 11/14/2011 | Common Stock | 66,000 | 66,000 (18) | D | ||||||||
Stock Option | $ 13.4325 | 11/20/2004 | 11/20/2012 | Common Stock | 72,000 | 72,000 (19) | D | ||||||||
Stock Option | $ 17.5167 | 11/19/2005(15) | 11/19/2013 | Common Stock | 72,000 | 72,000 (20) | D | ||||||||
Stock Option | $ 20.5633 | 11/17/2006(15) | 11/17/2014 | Common Stock | 63,000 | 63,000 (21) | D | ||||||||
Stock Option | $ 22.5617 | 11/16/2007(15) | 11/16/2015 | Common Stock | 60,000 | 60,000 (22) | D | ||||||||
Stock Option | $ 23.965 | 10/02/2008(15) | 10/02/2016 | Common Stock | 48,000 | 48,000 (23) | D | ||||||||
Stock Option | $ 40.21 | 10/01/2009(15) | 10/01/2017 | Common Stock | 30,000 | 30,000 (24) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VALANJU SUBHASH S 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
Vice President and CIO |
Arlene D. Gumm Attorney-In-Fact for Subhash S. Valanju | 10/04/2007 | |
**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) | Includes 43.525 shares acquired through reinvestment of dividends on October 2, 2007, at a price of $40.2122 per share. |
(2) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 11,466.948 additional shares of common stock. |
(3) | The number of underlying securities is based on the stock fund balance on October 1, 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 1, 2007, stock fund price of $40.21 per share. |
(4) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 12,908.99 additional shares of common stock. |
(5) | 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. |
(6) | The phantom stock units were accrued under the Johnson Controls Annual Incentive Compensation Plan and are to be settled 100% in cash upon the reporting person's termination. |
(7) | Includes 188.16 phantom stock units acquired through reinvestment of dividends on October 2, 2007, at a price of $39.8667. |
(8) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 45,463.024 additional phantom stock units. |
(9) | The phantom stock units were accrued under the Johnson Controls Long-Term Incentive Plan and are to be settled 100% in cash upon the reporting person's termination. |
(10) | Includes 21.678 phantom stock units acquired through reinvestment of dividends on October 2, 2007, at a price of $39.8667. |
(11) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 5237.718 additional phantom stock units. |
(12) | 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 with the company. |
(13) | Includes 24.768 phantom stock units acquired through reinvestment of dividends on October 2, 2007, at a price of $39.8667. |
(14) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 3808.232 additional phantom stock units. |
(15) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |
(16) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 28,000 additional option shares of common stock. The original grant price was $29.2032. |
(17) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 60,000 additional option shares of common stock. The original grant price was $28.4219. |
(18) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 44,000 additional option shares of common stock. The original grant price was $40.115. |
(19) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 48,000 additional option shares of common stock. The original grant price was $40.2975. |
(20) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 48,000 additional option shares of common stock. The original grant price was $52.55. |
(21) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 42,000 additional option shares of common stock. The original grant price was $61.69. |
(22) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 40,000 additional option shares of common stock. The original grant price was $67.685. |
(23) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 32,000 additional option shares of common stock. The original grant price was $71.895. |
(24) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 20,000 additional option shares of common stock. The original grant price was $120.63. |