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 Plan
|
Â
(3)
|
Â
(3)
|
Common Stock
|
2,141.746
|
$
(4)
|
D
|
Â
|
Phantom Stock Units - Restricted Stock Plan
|
Â
(5)
|
Â
(5)
|
Common Stock
|
38.039
|
$
(4)
|
D
|
Â
|
Stock Option
(6)
|
11/14/2003(7)
|
11/14/2011 |
Common Stock
|
7,600
|
$
40.115
|
D
|
Â
|
Stock Option
|
11/20/2004(7)
|
11/20/2012 |
Common Stock
|
9,120
|
$
40.2975
|
D
|
Â
|
Stock Option
|
11/19/2005(7)
|
11/19/2013 |
Common Stock
|
9,350
|
$
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) |
Represents a grant of restricted stock. Fifty percent vests 1/2/2006 and the balance, 1/2/2008. |
(2) |
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. |
(3) |
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. |
(4) |
The phantom stock units convert to the common stock's cash value on a one-for-one basis. |
(5) |
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. |
(6) |
One stock option was included on the original Form 3 filing that had been exercised by the reporting person prior to his beginning a Section 16 officer. This option has been deleted from the amended Form 3. |
(7) |
Fifty percent of the options vest after two years and the remaining 50% vests after three years. |