|
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 | ||||||||
Phantom Stock Units/Excess Benefit Plan | (3) | (4) | (4) | Common Stock | 953.96 | 953.96 (5) | D | ||||||||
Stock Option | $ 40.115 | 03/22/2006 | M | 10,000 | 11/14/2003 | 11/14/2011 | Common Stock | 10,000 | $ 40.115 | 0 | D | ||||
Stock Option | $ 40.2975 | 03/22/2006 | M | 8,000 | 11/20/2004 | 11/20/2012 | Common Stock | 8,000 | $ 40.2975 | 0 | D | ||||
Stock Option | $ 52.55 | 02/01/2006(6) | 11/19/2013 | Common Stock | 8,000 | 8,000 | D | ||||||||
Stock Option | $ 61.69 | 02/01/2006(6) | 11/17/2014 | Common Stock | 8,000 | 8,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROSE DARLENE 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201-0591 |
Senior Vice President |
Arlene D. Gumm Attorney-In-Fact for Darlene Rose | 03/24/2006 | |
**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 a company match of 80.0025 Johnson Controls stock units in the 401(k) Plan. The company match of Johnson Controls stock is based on the company's earnings and is provided to all employees enrolled in the 401(k) Plan. |
(2) | The number of underlying securities is based on the stock fund balance on March 23, 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 a March 23, 2006, stock fund price of $76.85 per share. |
(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 Equalization 401(k) Benefit Plan and are to be settled 100% in cash after the end of the calendar year in the year of the reporting person's retirement. |
(5) | Includes a company match of 93.363 Johnson Controls phantom stock units in the Excess Benefit Plan. The company match mirrors the company match in the 401(k) Plan. |
(6) | Per the terms of the plan, the options vested immediately upon the 2/1/2006 retirement of the reporting person. |