1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Phantom Stock Units - EICP
|
Â
(4)
|
Â
(4)
|
Common Stock
|
6,164.43
|
$
(5)
|
D
|
Â
|
Phantom Stock Units - Restricted Stock Plan
|
Â
(6)
|
Â
(6)
|
Common Stock
|
99.108
|
$
(5)
|
D
|
Â
|
Stock Option
|
11/15/2002 |
11/15/2010 |
Stock Option
|
11,550
|
$
28.4219
|
D
|
Â
|
Stock Option
|
11/14/2003(7)
|
11/14/2011 |
Stock Option
|
17,600
|
$
40.115
|
D
|
Â
|
Stock Option
|
11/20/2004(7)
|
11/20/2012 |
Stock Option
|
20,000
|
$
40.2975
|
D
|
Â
|
Stock Option
|
11/19/2005(7)
|
11/19/2013 |
Stock Option
|
20,000
|
$
52.55
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Prior to the reporting person becoming subject to Section 16, a sale of 201 shares of the common stock of Johnson Controls, Inc. occurred. This sale was not reflected in the number of shares reported as beneficially owned by the reporting person at the time the filing was made. This filing reflects the correct number of shares beneficially owned. |
(2) |
Includes a grant of 12,000 shares of restricted stock. The shares vest as follows: 7,000 on 1/2/2006 and 5,000 on 1/2/2008. |
(3) |
The number of underlying securities is based on the stock fund balance on 5/27/2004. 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 a 5/27/2004 stock fund price of $54.06 per share. |
(4) |
The phantom stock units were accrued under the Johnson Controls Executive Incentive Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement. |
(5) |
The phantom stock units convert to the common stock's cash value on a one-for-one basis. |
(6) |
The restricted stock units were accrued under the Johnson Controls Restricted Stock Plan. The units represent the reinvestment of dividends and are to be settled 100% in cash upon the vesting of the reporting person's Restricted Stock Grant. |
(7) |
Fifty percent of the options vest after two years and the remaining 50% vests after three years. |