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: 257 rows in 2008. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2008-01-24: Reporting owner BARTH JOHN M; Form 4; Security Phantom Stock Units/Restricted Stock Grant; Transaction Holding.
- 2008-01-24: Reporting owner Bolzenius Beda; Form 4; Security Phantom Stock Units/Restricted Stock Grant; Transaction Holding.
- 2008-01-23: Reporting owner LACY WILLIAM H; Form 4/A; Security Phantom Stock Units / Directors' Deferred Compensation Plan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2008-01-23: Reporting owner ARCHER DENNIS W; Form 4; Security Phantom Stock Units/Directors' Deferred Comp Plan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2008-01-24 holding as of filing | BARTH JOHN M Director | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 374,165 owned after | no price filed | 2008-01-24 | |
| 2008-01-24 holding as of filing | Bolzenius Beda Officer (Vice President) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 267 owned after | no price filed | 2008-01-24 | |
| 2008-01-23 | LACY WILLIAM H Director | 4/A | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,076 45,092 owned after | $32.50 | 2008-05-19 | |
| 2008-01-23 | ARCHER DENNIS W Director | 4 | Phantom Stock Units/Directors' Deferred Comp Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,076 17,758 owned after | $32.50 | 2008-01-25 | |
| 2008-01-23 | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,038 86,167 owned after | $32.50 | 2008-01-25 | |
| 2008-01-23 | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/Director's Deferred Comp Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,846 41,110 owned after | $32.50 | 2008-01-25 | |
| 2008-01-23 | BARNETT ROBERT L Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,798 179,168 owned after | $35.20 | 2008-01-25 | |
| 2008-01-23 | BLACK NATALIE A Director | 4 | Phantom Stock Units/Directors' Deferred Comp Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,461 27,918 owned after | $32.50 | 2008-01-25 | |
| 2008-01-23 | CLARIOND EUGENIO Director | 4/A | Phantom Stock Units/Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,076 9,716 owned after | $32.50 | 2008-01-25 | |
| 2008-01-23 | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,076 9,716 owned after | $32.50 | 2008-01-25 | |
| 2008-01-09 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Excess Benefit Plan Derivative · Direct | Holding | 1,211 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 12,031 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 9,329 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - LTIP Plan Derivative · Direct | Holding | 2,669 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units /Excess Benefits Plan Derivative · Direct | Holding | 826 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 919 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 71 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Long-Term Incentive Plan Derivative · Direct | Holding | 132 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 36,929 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/LTPP Derivative · Direct | Holding | 33,062 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | ZUTZ DENISE M Officer (Vice President) | 4 | Phantom Stock Units / Excess Benefit Plan Derivative · Direct | Holding | 9,032 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | OKARMA JEROME D Officer (VP, Secretary & Gen Counsel) | 4 | Phantom Stock Units/Excess 401(k) Plan Derivative · Direct | Holding | 7,853 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 2,640 owned after | no price filed | 2008-01-09 | |
| 2008-01-09 holding as of filing | ROELL STEPHEN A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 52,566 owned after | no price filed | 2008-01-09 | |
| 2008-01-07 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 73,352 owned after | no price filed | 2008-01-07 | |
| 2008-01-07 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units - Long-Term Incentive Plan Derivative · Direct | Holding | 7,908 owned after | no price filed | 2008-01-07 | |
| 2008-01-07 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 5,786 owned after | no price filed | 2008-01-07 | |
| 2008-01-07 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 2,640 owned after | no price filed | 2008-01-07 | |
| 2008-01-07 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 453 owned after | no price filed | 2008-01-07 | |
| 2008-01-04 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 36,929 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/LTPP Derivative · Direct | Holding | 33,062 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 7,144 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | ZUTZ DENISE M Officer (Vice President) | 4 | Phantom Stock Units / Excess Benefit Plan Derivative · Direct | Holding | 9,032 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | ZUTZ DENISE M Officer (Vice President) | 4 | Phantom Stock Units / Restricted Stock Plan Derivative · Direct | Holding | 1,790 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | ROELL STEPHEN A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 52,566 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | ROELL STEPHEN A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units / Restricted Stock Grant Derivative · Direct | Holding | 105,870 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | OKARMA JEROME D Officer (VP, Secretary & Gen Counsel) | 4 | Phantom Stock Units/Excess 401(k) Plan Derivative · Direct | Holding | 7,853 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | OKARMA JEROME D Officer (VP, Secretary & Gen Counsel) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 1,354 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 9,329 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - LTIP Plan Derivative · Direct | Holding | 2,669 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units /Excess Benefits Plan Derivative · Direct | Holding | 826 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 12,382 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Excess Benefit Plan Derivative · Direct | Holding | 1,211 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 12,031 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 2,224 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 919 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 71 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Long-Term Incentive Plan Derivative · Direct | Holding | 132 owned after | no price filed | 2008-01-04 | |
| 2008-01-04 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phanton Stock Units/ Restricted Stock Grant Derivative · Direct | Holding | 41,114 owned after | no price filed | 2008-01-04 | |
| 2008-01-03 | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,561 663 owned after | $35.02 | 2008-01-09 | |
| 2008-01-03 | Molinaroli Alex A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,351 11,031 owned after | $35.02 | 2008-01-09 | |
| 2008-01-03 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phanton Stock Units/ Restricted Stock Grant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −294 40,820 owned after | $35.02 | 2008-01-09 | |
| 2008-01-03 | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,031 2,113 owned after | $35.02 | 2008-01-09 | |
| 2008-01-03 | ZUTZ DENISE M Officer (Vice President) | 4 | Phantom Stock Units / Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,446 344 owned after | $35.02 | 2008-01-09 | |
| 2008-01-03 | OKARMA JEROME D Officer (VP, Secretary & Gen Counsel) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −630 724 owned after | $35.02 | 2008-01-09 | |
| 2008-01-03 | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −210 243 owned after | $35.02 | 2008-01-09 | |
| 2008-01-03 | ROELL STEPHEN A Director, Officer (Chief Executive Officer) | 4 | Phantom Stock Units / Restricted Stock Grant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,659 101,211 owned after | $35.02 | 2008-01-09 |