|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 28.54 | 10/07/2011 | A | 34,500 | 10/07/2013(2) | 10/07/2021 | Common Stock | 34,500 | $ 0 | 34,500 | D | ||||
Phantom Stock Units/Restricted Stock Grants | $ 0 (3) | 10/07/2011 | A | 6,000 | 10/07/2013(4) | 10/07/2015 | Common Stock | 6,000 | $ 0 | 67,868.832 (5) (6) | D | ||||
Employee Stock Option (Right to Buy) | $ 30.54 | 10/01/2012(2) | 10/01/2020 | Common Stock | 35,000 | 35,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stief Brian J 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201 |
Vice Pres. & Corp. Controller |
Angela M. Blair, Attorney-in-Fact for Brian J. Stief | 10/11/2011 | |
**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 shares of previously granted restricted stock: 3,750 which vest on November 1, 2012, and 3,750 which vest on November 1, 2014. All vesting is subject to continuous employment with the issuer. |
(2) | Fifty percent of the options vest after two years and the remaining 50% vests after three years. |
(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 a grant of 6,000 deferred restricted stock units which vest as follows: 3,000 on October 7, 2013 and 3,000 on October 7, 2015. The units and dividends which relate to the units and accrue during the vesting period will be settled 100% in cash upon retirement. |
(5) | The phantom stock units representing (a) dividends which relate to unvested, non-deferred restricted stock awards, which will be settled 100% in cash upon vesting of the award and (b) dividends which relate to unvested, deferred restricted stock awards, which will be settled 100% in cash upon retirement. |
(6) | Includes 1,198.483 phantom stock units acquired through the reinvestment of dividends on January 4, April 5, July 5 and October 4, 2011 at prices ranging from $27.56 to $42.25 per phantom stock unit. |