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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 / Directors' Deferred Compensation Plan | (3) | 01/23/2008 | A | 3,076 | (4) | (4) | Common Stock | 3,076 | $ 32.5 | 45,092.477 (5) (6) | D | ||||
Phantom Stock Units / Directors' Retirement Stock Plan | (3) | (7) | (7) | Common Stock | 21,213.863 | 21,213.863 (8) (9) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LACY WILLIAM H 5757 N. GREEN BAY AVE. P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
X |
Arlene D. Gumm Attorney-In-Fact for William H. Lacy | 05/19/2008 | |
**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) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 30,614 additional shares of common stock. |
(2) | Award of 3,076 stock units was mistakenly reported as shares of Johnson Controls stock in Table I. The award on January 23, 2008, was actually issued as 3,076 phantom stock units in the Directors' Deferred Compensation Plan reported in Table II. This amended report corrects the issuance information. |
(3) | The phantom stock units convert to the common stock's cash value on a one-for-one basis. |
(4) | The Phantom stock units were accrued under the Johnson Controls Directors' Deferred Compensation Plan and are to be settled 100% in cash. The reporting person has the right to transfer the value of the phantom stock account into an alternative investment account within the plan or move out of the plan. |
(5) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 27,655.04 of additional phantom stock units. |
(6) | Includes 533.914 phantom stock units acquired through the reinvestment of dividends on March 30, June 29 and October 2, 2007, and January 3, 2008, at prices ranging from $31.54 to $39.8667 per phantom stock unit. |
(7) | The Phantom stock units were accrued under the Johnson Controls Directors' Retirement Plan and are to be settled 100% in cash. The reporting person has the right to transfer the value of the phantom stock account into an alternative investment account within the plan or move out of the plan. |
(8) | On October 2, 2007, the common stock of Johnson Controls Inc., split 3-for-1, resulting in the reporting person's ownership of 13,962.864 of additional phantom stock units. |
(9) | Includes 269.567 phantom stock units acquired through the reinvestment of dividends on March 30, June 29 and October 2, 2007, and January 3, 2008, at prices ranging from $31.54 to $39.8667 per phantom stock unit. |