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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 | (4) | (5) | (5) | Common Stock | 1,206.405 | 1,206.405 (6) | D | ||||||||
| Phantom Stock Units - Annual Incentive Plan | (4) | (7) | (7) | Common Stock | 11,986.758 | 11,986.758 (8) | D | ||||||||
| Phantom Stock Units - Restricted Stock Plan | (9) | (9) | (9) | Common Stock | 1,960.38 | 1,960.38 (10) | D | ||||||||
| Stock Option | $ 17.5167 | 11/19/2005(16) | 11/19/2013 | Common Stock | 60,000 | 60,000 (11) | D | ||||||||
| Stock Option | $ 20.5633 | 11/17/2006(16) | 11/17/2014 | Common Stock | 90,000 | 90,000 (12) | D | ||||||||
| Stock Option | $ 22.5617 | 11/16/2007(16) | 11/16/2015 | Common Stock | 150,000 | 150,000 (13) | D | ||||||||
| Stock Option | $ 23.965 | 10/02/2008(16) | 10/02/2016 | Common Stock | 60,000 | 60,000 (14) | D | ||||||||
| Stock Option | $ 40.21 | 10/01/2009(16) | 10/01/2017 | Common Stock | 36,000 | 36,000 (15) | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Edwards Jeffrey S 49200 HALYARD DRIVE P.O. BOX 8010 PLYMOUTH, MI 48170 |
Vice President | |||
| Arlene D. Gumm, Attorney-in-Fact for Jeffrey S. Edwards | 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 5.127 shares acquired through the reinvestment of dividends on October 2, 2007, at a price of $40.2122 per share and 14,915.64 shares which are the result of a 3 for 1 stock split on October 2, 2007, of the common stock of Johnson Controls. |
| (2) | Includes 60,000 shares of restricted stock grants of which 40,000 are the result of a 3 for 1 stock split on October 2, 2007 of the common stock of Johnson Controls. 37,500 vest on 1/3/2008 and 22,500 vest on 1/3/2010. |
| (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. This also includes 5897.956 shares acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (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. |
| (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 or other termination of service with the company. |
| (6) | Includes 3.321 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 802.056 phantom stock unitx acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (7) | 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 retirement or other termination of service with the company. |
| (8) | Includes 32.982 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 7,969.184 phantom stock units acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (9) | 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 Grant. |
| (10) | Includes 170.49 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 1,193.26 phantom stock unitx acquired as the result of a 3 for 1 stock split of Johnson Controls common stock on October 2, 2007. |
| (11) | On October 2, 2007, the common stock of Johnson Controls split 3 for 1, resulting in the reporting person's ownership of 40,000 additional option shares. The original grant price was $52.55. |
| (12) | On October 2, 2007, the common stock of Johnson Controls split 3 for 1, resulting in the reporting person's ownership of 60,000 additional option shares. The original grant price was $61.69. |
| (13) | On October 2, 2007, the common stock of Johnson Controls split 3 for 1, resulting in the reporting person's ownership of 100,000 additional option shares. The original grant price was $67.685. |
| (14) | On October 2, 2007, the common stock of Johnson Controls split 3 for 1, resulting in the reporting person's ownership of 40,000 additional option shares. The original grant price was $71.895. |
| (15) | On October 2, 2007, the common stock of Johnson Controls split 3 for 1, resulting in the reporting person's ownership of 24,000 additional option shares. The original grant price was $120.63. |
| (16) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |