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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/Restricted Stock Grant | (3) | (3) | (3) | Common Stock | 725.466 | 725.466 (4) | D | ||||||||
Stock Option | $ 24.3667 | 01/03/2008(5) | 01/03/2016 | Common Stock | 120,000 | 120,000 (6) | D | ||||||||
Stock Option | $ 23.965 | 10/02/2008(5) | 10/02/2016 | Common Stock | 192,000 | 192,000 (7) | D | ||||||||
Stock Option | $ 40.21 | 10/01/2009(5) | 10/01/2017 | Common Stock | 120,000 | 120,000 (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MYERS C DAVID 5757 N GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201 |
Vice President |
Arlene Gumm Attorney-In-Fact for C. David Myers | 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) | Includes 60,000 shares of restricted stock grants of which 20,000 are the result of a 3-for-1 stock split on October 2, 2007 of the common stock of Johnson Controls. 15,000 vest on 1/3/2008 and 15,000 vest on 1/3/2010. 15,000 vest on 11/1/2009 and 15,000 vest on 11/1/2011. |
(2) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 16,000 additional shares of common stock. |
(3) | Each unit 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. |
(4) | Includes 84.543 phantom stock units acquired through reinvestment of dividends on October 2, 2007, at a price of 39.8667 per phantom unit. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 427.282 additional phantom stock units. |
(5) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |
(6) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 80,000 additional option shares of common stock. The original grant price was $73.10. |
(7) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 128,000 additional option shares of common stock. The original grant price was $71.895. |
(8) | On October 2, 2007, the common stock of Johnson Controls split 3-for-1, resulting in the reporting person's ownership of 80,000 additional option shares. The original grant price was $120.63. |