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JOHNSON CONTROLS INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights, 2007, Page 3

JOHNSON CONTROLS INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights

Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 337 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2007-05-02: Reporting owner Edwards Jeffrey S; Form 4; Security Phantom Stock Units - Restricted Stock Plan; Transaction Holding.
  • 2007-04-26: Reporting owner Harvey Charles A; Form 4; Security Phantom Stock Units/Annual Incentive Plan; Transaction Holding.
  • 2007-04-26: Reporting owner Harvey Charles A; Form 4; Security Phantom Stock Units - Restricted Stock Plan; Transaction Holding.
  • 2007-04-05: Reporting owner MORCOTT SOUTHWOOD J; Form 4; Security Phantom Stock Units/Directors' Retirement Stock Account; Transaction Holding.
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2007-05-02
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
538 owned after
no price filed2007-05-02
2007-04-26
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units/Annual Incentive Plan
Derivative · Direct
Holding
872 owned after
no price filed2007-04-26
2007-04-26
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
92 owned after
no price filed2007-04-26
2007-04-05
holding as of filing
MORCOTT SOUTHWOOD J
Director
4Phantom Stock Units/Directors' Retirement Stock Account
Derivative · Direct
Holding
45 owned after
no price filed2007-04-05
2007-04-05
holding as of filing
JOERRES JEFFREY A
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
3,367 owned after
no price filed2007-04-05
2007-04-05
holding as of filing
CORNOG ROBERT A
Director
4Phantom Stock Units / Directors Retirement Stock Plan
Derivative · Direct
Holding
10,472 owned after
no price filed2007-04-05
2007-04-05
holding as of filing
CLARIOND EUGENIO
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
719 owned after
no price filed2007-04-05
2007-04-05
holding as of filing
CORNOG ROBERT A
Director
4Phantom Stock Units / Directors Retirement Stock Plan
Derivative · Direct
Holding
10,436 owned after
no price filed2007-04-05
2007-04-05
holding as of filing
BLACK NATALIE A
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
6,544 owned after
no price filed2007-04-05
2007-04-05
holding as of filing
BARNETT ROBERT L
Director
4Phantom Stock Units / Directors' Retirement Plan
Derivative · Direct
Holding
11,628 owned after
no price filed2007-04-05
2007-04-04MORCOTT SOUTHWOOD J
Director
4Phantom Stock Units/Directors' Deferred Comp Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+81
16,286 owned after
$96.502007-04-05
2007-04-04JOERRES JEFFREY A
Director
4Phantom Stock Units/Director's Deferred Comp Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+260
11,889 owned after
$96.502007-04-05
2007-04-04CORNOG ROBERT A
Director
4Phantom Stock Units / Directors' Deferred Compensation Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+325
26,601 owned after
$96.502007-04-05
2007-04-04CLARIOND EUGENIO
Director
4Phantom Stock Units/Directors' Deferred Compensation Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+130
1,984 owned after
$96.502007-04-05
2007-04-04BLACK NATALIE A
Director
4Phantom Stock Units/Directors' Deferred Comp Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+130
7,868 owned after
$96.502007-04-05
2007-04-04BARNETT ROBERT L
Director
4Phantom Stock Units / Directors' Deferred Compensation Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+244
57,524 owned after
$96.502007-04-05
2007-04-03
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Long-Term Incentive Plan
Derivative · Direct
Holding
1,646 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Excess Benefit Plan
Derivative · Direct
Holding
2,009 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Restricted Stock Grant
Derivative · Direct
Holding
4,074 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units - Annual Incentive Plan
Derivative · Direct
Holding
22,667 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units - Long-Term Incentive Plan
Derivative · Direct
Holding
2,611 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units/Excess Benefit Plan-Common
Derivative · Direct
Holding
1,898 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units/Annual Incentive Plan
Derivative · Direct
Holding
872 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
92 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Excess Benefit Plan
Derivative · Direct
Holding
400 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Annual Incentive Plan
Derivative · Direct
Holding
3,973 owned after
no price filed2007-04-03
2007-04-03
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
538 owned after
no price filed2007-04-03
2007-03-26
holding as of filing
CLARIOND EUGENIO
Director
4Phantom Stock Units/Directors' Deferred Compensation Plan
Derivative · Direct
Holding
1,848 owned after
no price filed2007-03-26
2007-03-26
holding as of filing
CLARIOND EUGENIO
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
717 owned after
no price filed2007-03-26
2007-03-26
holding as of filing
CLARIOND EUGENIO
Director
4/APhantom Stock Units/Directors' Deferred Compensation Plan
Derivative · Direct
Holding
1,848 owned after
no price filed2007-03-26
2007-03-26
holding as of filing
CLARIOND EUGENIO
Director
4/APhantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
717 owned after
no price filed2007-03-26
2007-03-26
holding as of filing
CLARIOND EUGENIO
Director
4Phantom Stock Units/Directors' Deferred Compensation Plan
Derivative · Direct
Holding
1,848 owned after
no price filed2007-03-26
2007-03-26
holding as of filing
CLARIOND EUGENIO
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
717 owned after
no price filed2007-03-26
2007-03-21BRUNNER PAUL A
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−17,805
0 owned after
no price filed2007-03-23
2007-03-20
holding as of filing
WANDELL KEITH E
Officer (President and COO)
4Phantom Stock Units/Excess Benefit Plan-Common
Derivative · Direct
Holding
12,149 owned after
no price filed2007-03-20
2007-03-20
holding as of filing
WANDELL KEITH E
Officer (President and COO)
4Phantom Stock Units/LTPP
Derivative · Direct
Holding
10,881 owned after
no price filed2007-03-20
2007-03-20
holding as of filing
WANDELL KEITH E
Officer (President and COO)
4Phantom Stock Units/Restricted Stock Grant
Derivative · Direct
Holding
1,491 owned after
no price filed2007-03-20
2007-03-13
holding as of filing
ROELL STEPHEN A
Director, Officer (Vice Chairman & Exec Vice Pres)
4Phantom Stock Units/Excess Benefit Plan-Common
Derivative · Direct
Holding
17,299 owned after
no price filed2007-03-13
2007-03-13
holding as of filing
ROELL STEPHEN A
Director, Officer (Vice Chairman & Exec Vice Pres)
4Phantom Stock Units / Restricted Stock Grant
Derivative · Direct
Holding
33,915 owned after
no price filed2007-03-13
2007-03-06
holding as of filing
MCDONALD R BRUCE
Officer (Exec Vice President & CFO)
4Phantom Stock Units/Long-Term Incentive Plan
Derivative · Direct
Holding
22,702 owned after
no price filed2007-03-06
2007-03-06
holding as of filing
MCDONALD R BRUCE
Officer (Exec Vice President & CFO)
4Phantom Stock Units/Restricted Stock Grant
Derivative · Direct
Holding
30,326 owned after
no price filed2007-03-06
2007-03-06
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Long-Term Incentive Plan
Derivative · Direct
Holding
1,640 owned after
no price filed2007-03-06
2007-03-06
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Restricted Stock Grant
Derivative · Direct
Holding
4,060 owned after
no price filed2007-03-06
2007-03-05MCDONALD R BRUCE
Officer (Exec Vice President & CFO)
4Phantom Stock Units / Excess Benefit Plan-Common
Derivative · Direct
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities+790
5,296 owned after
$94.902007-03-06
2007-03-02VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Excess Benefit Plan
Derivative · Direct
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities+186
2,002 owned after
$95.572007-03-06
2007-03-02
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Long-Term Incentive Plan
Derivative · Direct
Holding
1,640 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Excess Benefit Plan
Derivative · Direct
Holding
1,815 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Restricted Stock Grant
Derivative · Direct
Holding
4,060 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units - Annual Incentive Plan
Derivative · Direct
Holding
22,588 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units - Long-Term Incentive Plan
Derivative · Direct
Holding
2,602 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units/Excess Benefit Plan-Common
Derivative · Direct
Holding
1,892 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units/Annual Incentive Plan
Derivative · Direct
Holding
869 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
75 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Excess Benefit Plan
Derivative · Direct
Holding
399 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Annual Incentive Plan
Derivative · Direct
Holding
3,959 owned after
no price filed2007-03-02
2007-03-02
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
466 owned after
no price filed2007-03-02
2007-02-26
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units/Annual Incentive Plan
Derivative · Direct
Holding
869 owned after
no price filed2007-02-26
2007-02-26
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
75 owned after
no price filed2007-02-26
2007-02-26
holding as of filing
Harvey Charles A
Officer (Vice President)
4/APhantom Stock Units/Annual Incentive Plan
Derivative · Direct
Holding
869 owned after
no price filed2007-02-26
2007-02-26
holding as of filing
Harvey Charles A
Officer (Vice President)
4/APhantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
75 owned after
no price filed2007-02-26
2007-02-06
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Excess Benefit Plan
Derivative · Direct
Holding
399 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Annual Incentive Plan
Derivative · Direct
Holding
3,959 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
Edwards Jeffrey S
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
466 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units/Annual Incentive Plan
Derivative · Direct
Holding
869 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units - Restricted Stock Plan
Derivative · Direct
Holding
75 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
Harvey Charles A
Officer (Vice President)
4Phantom Stock Units - Excess Benefit Plan
Derivative · Direct
Holding
26 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Long-Term Incentive Plan
Derivative · Direct
Holding
1,640 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Excess Benefit Plan
Derivative · Direct
Holding
1,815 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
VOLTOLINA FRANK A
Officer (Vice President and Treasurer)
4Phantom Stock Units - Restricted Stock Grant
Derivative · Direct
Holding
4,060 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units - Annual Incentive Plan
Derivative · Direct
Holding
22,588 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units - Long-Term Incentive Plan
Derivative · Direct
Holding
2,602 owned after
no price filed2007-02-06
2007-02-06
holding as of filing
VALANJU SUBHASH S
Officer (Vice President and CIO)
4Phantom Stock Units/Excess Benefit Plan-Common
Derivative · Direct
Holding
1,892 owned after
no price filed2007-02-06
2007-02-05
holding as of filing
Sherrill Gregg M
Officer (Vice President)
4Phantom Stock Units/Excess 401(k) Plan
Derivative · Direct
Holding
634 owned after
no price filed2007-02-05
2007-02-05
holding as of filing
Sherrill Gregg M
Officer (Vice President)
4Phantom Stock Units - Annual Incentive Plan
Derivative · Direct
Holding
4,327 owned after
no price filed2007-02-05
2007-02-05
holding as of filing
Sherrill Gregg M
Officer (Vice President)
4Phantom Stock Units - Long-Term Incentive Plan
Derivative · Direct
Holding
6,905 owned after
no price filed2007-02-05
2007-02-05
holding as of filing
DAVIS SUSAN F
Officer (Executive Vice President)
4Phantom Stock Units/Excess Benefit Plan-Common
Derivative · Direct
Holding
302 owned after
no price filed2007-02-05
2007-02-05
holding as of filing
DAVIS SUSAN F
Officer (Executive Vice President)
4Phantom Stock Units/Annual Incentive Plan
Derivative · Direct
Holding
23 owned after
no price filed2007-02-05
2007-02-05
holding as of filing
DAVIS SUSAN F
Officer (Executive Vice President)
4Phantom Stock Units/Long-Term Incentive Plan
Derivative · Direct
Holding
43 owned after
no price filed2007-02-05
2007-02-05
holding as of filing
DAVIS SUSAN F
Officer (Executive Vice President)
4Phanton Stock Units/ Restricted Stock Grant
Derivative · Direct
Holding
7,464 owned after
no price filed2007-02-05
2007-01-31
holding as of filing
OKARMA JEROME D
Officer (VP, Secretary & Gen Counsel)
4Phantom Stock Units/Excess 401(k) Plan
Derivative · Direct
Holding
2,584 owned after
no price filed2007-01-31
2007-01-31
holding as of filing
OKARMA JEROME D
Officer (VP, Secretary & Gen Counsel)
4Phantom Stock Units/Restricted Stock Grant
Derivative · Direct
Holding
224 owned after
no price filed2007-01-31
2007-01-30
holding as of filing
OKARMA JEROME D
Officer (VP, Secretary & Gen Counsel)
4Phantom Stock Units/Excess 401(k) Plan
Derivative · Direct
Holding
2,584 owned after
no price filed2007-01-30
2007-01-30
holding as of filing
OKARMA JEROME D
Officer (VP, Secretary & Gen Counsel)
4Phantom Stock Units/Restricted Stock Grant
Derivative · Direct
Holding
224 owned after
no price filed2007-01-30
2007-01-26
holding as of filing
ARCHER DENNIS W
Director
4Phantom Stock Units/Directors' Retirement Stock Account
Derivative · Direct
Holding
3,266 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
BARNETT ROBERT L
Director
4Phantom Stock Units / Directors' Retirement Plan
Derivative · Direct
Holding
11,587 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
BRUNNER PAUL A
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
17,805 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
BLACK NATALIE A
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
6,521 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
CLARIOND EUGENIO
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
717 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
CORNOG ROBERT A
Director
4Phantom Stock Units / Directors Retirement Stock Plan
Derivative · Direct
Holding
10,436 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
JOERRES JEFFREY A
Director
4Phantom Stock Units/Directors' Retirement Stock Plan
Derivative · Direct
Holding
3,356 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
LACY WILLIAM H
Director
4Phantom Stock Units / Directors' Retirement Stock Plan
Derivative · Direct
Holding
6,981 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
MORCOTT SOUTHWOOD J
Director
4Phantom Stock Units/Directors' Retirement Stock Account
Derivative · Direct
Holding
44 owned after
no price filed2007-01-26
2007-01-26
holding as of filing
TEERLINK RICHARD F
Director
4Phantom Stock Units / Directors Retirement Stock Plan
Derivative · Direct
Holding
12,508 owned after
no price filed2007-01-26
2007-01-25
holding as of filing
Su Michael D
Officer (Vice President)
4Phantom Stock Units - Annual Incentive Plan
Derivative · Direct
Holding
1,024 owned after
no price filed2007-01-25
2007-01-25
holding as of filing
Su Michael D
Officer (Vice President)
4Phantom Stock Units - LTIP
Derivative · Direct
Holding
11,423 owned after
no price filed2007-01-25
2007-01-24CORNOG ROBERT A
Director
4Phantom Stock Units / Directors' Deferred Compensation Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,084
26,185 owned after
$92.172007-04-05
2007-01-24ARCHER DENNIS W
Director
4Phantom Stock Units/Directors' Deferred Comp Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,084
4,832 owned after
$92.172007-01-26
2007-01-24BARNETT ROBERT L
Director
4Phantom Stock Units / Directors' Deferred Compensation Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,084
57,081 owned after
$92.172007-01-26
2007-01-24BLACK NATALIE A
Director
4Phantom Stock Units/Directors' Deferred Comp Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,084
7,711 owned after
$92.172007-01-26
2007-01-24CLARIOND EUGENIO
Director
4Phantom Stock Units/Directors' Deferred Compensation Plan
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,084
1,848 owned after
$92.172007-01-26