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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) | 11/01/2011 | M | 1,232.132 | (4) | (4) | Common Stock | 1,232.132 | $ 31.17 | 23,725.556 (4) | D | ||||
Phantom Stock Units/Restricted Stock Grant | (3) | 11/02/2011 | M | 401.946 | (4) | (4) | Common Stock | 401.946 | $ 31.75 | 23,323.61 (4) | 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 | 10/01/2017 | Common Stock | 120,000 | 120,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 28.79 | 10/01/2010 | 10/01/2018 | Common Stock | 160,000 | 160,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 24.87 | 10/01/2011(5) | 10/01/2019 | Common Stock | 170,000 | 170,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 30.54 | 10/01/2012(5) | 10/01/2020 | Common Stock | 150,000 | 150,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 28.54 | 10/07/2013(5) | 10/07/2021 | Common Stock | 140,000 | 140,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bolzenius Beda 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
Vice President |
Angela M. Blair, Attorney-in-fact for Beda Bolzenius | 11/03/2011 | |
**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 the following previously granted shares of restricted stock: 11,250 which vest on November 2, 2011, 12,000 which vest on November 1, 2012, 11,250 which vest on November 4, 2013, and 12,000 which vest on November 3, 2014. All vesting is subject to continuous employment with the issuer. |
(2) | Includes the following previously granted shares of restricted stock: 12,000 which vest on November 1, 2012, 11,250 which vest on November 4, 2013, and 12,000 which vest on November 3, 2014. All vesting is subject to continuous employment with the issuer. |
(3) | Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. |
(4) | The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes units representing (a) dividends, which relate to unvested, non-deferred restricted stock awards, which will be settled 100% in cash upon vesting of the awards, and (b) unvested, non-deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon vesting. |
(5) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |