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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-Common | (4) | (5) | (5) | Common Stock | 301.196 | 301.196 (6) | D | ||||||||
| Phantom Stock Units/Annual Incentive Plan | (4) | (7) | (7) | Common Stock | 23.356 | 23.356 (8) | D | ||||||||
| Phantom Stock Units/Long-Term Incentive Plan | (4) | (9) | (9) | Common Stock | 43.161 | 43.161 (10) | D | ||||||||
| Phanton Stock Units/ Restricted Stock Grant | (11) | (11) | (11) | Common Stock | 1 | 7,398.959 (12) | D | ||||||||
| Stock Option | $ 40.2975 | 11/20/2004 | 11/20/2012 | Common Stock | 50,000 | 50,000 | D | ||||||||
| Stock Option | $ 52.55 | 11/19/2005(13) | 11/19/2013 | Common Stock | 46,000 | 46,000 | D | ||||||||
| Stock Option | $ 61.69 | 11/17/2006(13) | 11/17/2014 | Common Stock | 46,000 | 46,000 | D | ||||||||
| Stock Option | $ 67.685 | 11/16/2007(13) | 11/16/2015 | Common Stock | 41,000 | 41,000 | D | ||||||||
| Stock Option | $ 71.895 | 10/02/2006 | A | 40,000 | 10/02/2008(13) | 10/02/2016 | Common Stock | 40,000 | $ 71.895 | 40,000 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| DAVIS SUSAN F 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
Vice President | |||
| Arlene D. GummAttorney-in-Fact for Susan F. Davis | 10/04/2006 | |
| **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 9,500 shares of restricted stock grants. 3,500 shares vest on 1/3/08; 3,500 vest on 1/3/10 and 2,500 vest on 8/1/11. |
| (2) | Includes 52.872 shares acquired through the reinvestment of dividends on September 29, 2006, at a price of $72.4482 per share. |
| (3) | The number of underlying securities is based on the stock fund balance on September 29, 2006. 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 September 29, 2006 stock fund price of $71.74 per share. |
| (4) | Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. Units 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. |
| (6) | The 1.171 phantom stock units were acquired through the reinvestment of dividends on September 29, 2006, at a price of $71.74 per phantom unit. |
| (7) | The phantom stock units were accrued under the Johnson Controls Annual Incentive Plan and are to be settled 100% in cash upon retirement. |
| (8) | The .091 phantom stock units were acquired through the reinvestment of dividends on September 29, 2006, at a price of $71.74 per phantom unit. |
| (9) | The phantom stock units were accrued under the Johnson Controls Long-Term Incentive Plan and are to be settled 100% in cash upon retirement. |
| (10) | The.168 phantom stock units were acquired through the reinvestment of dividends on September 29, 2006, at a price of $71.74 per phantom unit. |
| (11) | The phantom stock units were accrued under the Johnson Controls Deferred Restricted Stock Plan and are to be settled 100% in cash. Phantom units related to a deferred restricted stock grant are to be settled 100% in cash upon the reporting person's termination of employment with the company pending vesting. Phantom units related to non-deferred restricted stock grants are to be settled 100% in cash upon vesting of the related grant. |
| (12) | The 65.7 phantom stock units were acquired through the reinvestment of dividends on September 29, 2006, at a price of $71.74 per phantom unit. |
| (13) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |