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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 | (6) | 11/02/2011 | M | 116.118 | (7) | (7) | Common Stock | 116.118 | $ 31.75 | 9,946.755 | D | ||||
| Employee Stock Option (Right to Buy) | $ 32.01 | 03/21/2009 | 03/21/2017 | Common Stock | 45,000 | 45,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 40.21 | 10/01/2009 | 10/01/2017 | Common Stock | 36,000 | 36,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 28.79 | 10/01/2010 | 10/01/2018 | Common Stock | 47,000 | 47,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 24.87 | 10/01/2011(8) | 10/01/2019 | Common Stock | 47,000 | 47,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 30.54 | 10/01/2012(8) | 10/01/2020 | Common Stock | 35,000 | 35,000 | D | ||||||||
| Employee Stock Option (Right to Buy) | $ 28.54 | 10/07/2013(8) | 10/07/2021 | Common Stock | 31,500 | 31,500 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Kreh Susan M 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201 |
Vice President | |||
| Angela M. Blair, Attorney-in-Fact for Susan M. Kreh | 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 35.171 shares acquired via dividend reinvestment on October 4, 2011 at a price of $26.21 per share. |
| (2) | Due to a processing error by our transfer agent, the number of dividends reinvested on October 4, 2011, was adjusted. This resulted in a decrease of 0.077 share. |
| (3) | Includes the following previously granted shares of restricted stock: 2,600 which vest on November 1, 2012, 2,050 which vest on October 7, 2013, 3,250 which vest on November 4, 2013, 2,600 which vest on November 3, 2014 and 2,050 which vest on October 7, 2015. All vesting is subject to continuous employment with the issuer. |
| (4) | The reporting person's holdings include 15.926 shares acquired under the issuer's dividend reinvestment and common stock purchase plan since the reporting person's last report. These shares were acquired pursuant to the employee stock purchase plan provisions of the dividend reinvestment and common stock purchase plan, which acquisitions are exempt from Section 16. |
| (5) | The number of underlying securities is based on the stock fund balance on October 31, 2011. 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 an October 31, 2011, stock fund price of $32.93 per share. |
| (6) | Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. |
| (7) | The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock units representing (a) vested and deferred restricted stock awards and dividends which relate to the awards, both of which will be settled 100% in cash upon retirement and may be transferred into an alternative investment account, and (b) dividends which relate to unvested, non-deferred restricted stock awards, which will be settled 100% in cash upon vesting of the award. |
| (8) | Fifty percent of the option vests after two years and the remaining fifty percent after three years. |