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: 282 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-04-03: Reporting owner CORNOG ROBERT A; Form 4; Security Phantom Stock Units / Directors Retirement Stock Plan; Transaction Holding.
- 2009-04-03: Reporting owner CLARIOND EUGENIO; Form 4; Security Phantom Stock Units/Directors' Retirement Stock Plan; Transaction Holding.
- 2009-04-03: Reporting owner BLACK NATALIE A; Form 4; Security Phantom Stock Units/Directors' Retirement Stock Plan; Transaction Holding.
- 2009-04-01: Reporting owner BLACK NATALIE A; Form 4/A; 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-04-03 holding as of filing | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors Retirement Stock Plan Derivative · Direct | Holding | 32,625 owned after | no price filed | 2009-04-03 | |
| 2009-04-03 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 2,240 owned after | no price filed | 2009-04-03 | |
| 2009-04-03 holding as of filing | BLACK NATALIE A Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 20,386 owned after | no price filed | 2009-04-03 | |
| 2009-04-01 | BLACK NATALIE A Director | 4/A | Phantom Stock Units/Directors' Deferred Comp Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +946 38,965 owned after | $13.21 | 2009-07-06 | |
| 2009-04-01 | 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) | +2,366 56,541 owned after | $13.21 | 2009-04-03 | |
| 2009-04-01 | 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) | +2,366 103,518 owned after | $13.21 | 2009-04-03 | |
| 2009-04-01 | 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) | +1,893 20,836 owned after | $13.21 | 2009-04-03 | |
| 2009-04-01 | 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) | +946 39,005 owned after | $13.21 | 2009-04-03 | |
| 2009-03-17 holding as of filing | Kreh Susan M Officer (Vice Pres. & Corp. Controller) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 9,214 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 83,485 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units - Long-Term Incentive Plan Derivative · Direct | Holding | 8,066 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 5,979 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units / Retirement Restoration Plan Derivative · Direct | Holding | 28,111 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Long-Term Incentive Plan Derivative · Direct | Holding | 80,560 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 130,848 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | Strayer Jacqueline F Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Grant Derivative · Direct | Holding | 10 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 2,693 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 578 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | MYERS C DAVID Officer (Vice President) | 4 | Phantom Stock Units/Excess 401(k) Plan Derivative · Direct | Holding | 7,186 owned after | no price filed | 2009-03-17 | |
| 2009-03-17 holding as of filing | MYERS C DAVID Officer (Vice President) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 1,441 owned after | no price filed | 2009-03-17 | |
| 2009-03-16 | Strayer Jacqueline F Officer (Vice President) | 4 | Corporate Units Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $50.00 | 2009-10-05 | ||
| 2009-03-16 | Kreh Susan M Officer (Vice Pres. & Corp. Controller) | 4 | Corporate Units Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $50.00 | 2009-03-17 | ||
| 2009-03-16 | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Corporate Units Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $50.00 | 2009-03-17 | ||
| 2009-03-16 | MCDONALD R BRUCE Officer (Exec Vice President & CFO) | 4 | Corporate Units Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $50.00 | 2009-03-17 | ||
| 2009-03-16 | Strayer Jacqueline F Officer (Vice President) | 4 | Corporate Units Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $50.00 | 2009-03-17 | ||
| 2009-03-16 | Harvey Charles A Officer (Vice President) | 4 | Corporate Units Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $50.00 | 2009-03-17 | ||
| 2009-03-16 | MYERS C DAVID Officer (Vice President) | 4 | Corporate Units Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $50.00 | 2009-03-17 | ||
| 2009-03-04 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 2,693 owned after | no price filed | 2009-03-04 | |
| 2009-03-04 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 578 owned after | no price filed | 2009-03-04 | |
| 2009-03-04 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Excess Benefit Plan Derivative · Direct | Holding | 1,235 owned after | no price filed | 2009-03-04 | |
| 2009-03-04 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 12,272 owned after | no price filed | 2009-03-04 | |
| 2009-03-04 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 1,306 owned after | no price filed | 2009-03-04 | |
| 2009-02-13 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 5,004 owned after | no price filed | 2009-02-13 | |
| 2009-02-11 | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | +3,043 46,402 owned after | $13.61 | 2009-02-13 | |
| 2009-02-11 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 5,004 owned after | no price filed | 2009-02-11 | |
| 2009-02-10 | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | +4,441 43,359 owned after | $13.44 | 2009-02-11 | |
| 2009-02-04 holding as of filing | Bolzenius Beda Officer (Vice President) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 1,022 owned after | no price filed | 2009-02-04 | |
| 2009-02-04 holding as of filing | Bolzenius Beda Officer (Vice President) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 1,022 owned after | no price filed | 2009-02-04 | |
| 2009-02-03 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 83,485 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units - Long-Term Incentive Plan Derivative · Direct | Holding | 8,066 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 5,979 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 2,693 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 578 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Excess Benefit Plan Derivative · Direct | Holding | 1,235 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 12,272 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 1,306 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 38,918 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/Restricted Stock Grant Derivative · Direct | Holding | 5,004 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Retirement Restoration Plan Derivative · Direct | Holding | 937 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4/A | Phantom Stock Units - Excess Benefit Plan Derivative · Direct | Holding | 1,235 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4/A | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 12,272 owned after | no price filed | 2009-02-03 | |
| 2009-02-03 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4/A | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 1,306 owned after | no price filed | 2009-02-03 | |
| 2009-02-02 | WANDELL KEITH E Officer (President and COO) | 4 | Phantom Stock Units/LTPP Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −33,723 0 owned after | $12.31 | 2009-02-03 | |
| 2009-02-02 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −73 0 owned after | $12.31 | 2009-02-03 | |
| 2009-02-02 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phantom Stock Units/Long-Term Incentive Plan Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −134 0 owned after | $12.31 | 2009-02-03 | |
| 2009-02-02 | DAVIS SUSAN F Officer (Executive Vice President) | 4 | Phanton Stock Units/ Restricted Stock Grant Derivative · Direct | I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | −22,749 19,246 owned after | $12.31 | 2009-02-03 | |
| 2009-01-23 holding as of filing | MORCOTT SOUTHWOOD J Director | 4 | Phantom Stock Units/Directors' Deferred Comp Plan Derivative · Direct | Holding | 50,704 owned after | no price filed | 2009-01-23 | |
| 2009-01-23 holding as of filing | LACY WILLIAM H Director | 4 | Phantom Stock Units / Directors' Retirement Stock Plan Derivative · Direct | Holding | 21,638 owned after | no price filed | 2009-01-23 | |
| 2009-01-23 holding as of filing | JOERRES JEFFREY A Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 10,400 owned after | no price filed | 2009-01-23 | |
| 2009-01-23 holding as of filing | CORNOG ROBERT A Director | 4 | Phantom Stock Units / Directors Retirement Stock Plan Derivative · Direct | Holding | 32,345 owned after | no price filed | 2009-01-23 | |
| 2009-01-23 holding as of filing | CLARIOND EUGENIO Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 2,221 owned after | no price filed | 2009-01-23 | |
| 2009-01-23 holding as of filing | BLACK NATALIE A Director | 4 | Phantom Stock Units/Directors' Retirement Stock Plan Derivative · Direct | Holding | 20,211 owned after | no price filed | 2009-01-23 | |
| 2009-01-23 holding as of filing | BARNETT ROBERT L Director | 4 | Phantom Stock Units / Directors' Retirement Plan Derivative · Direct | Holding | 35,914 owned after | no price filed | 2009-01-23 | |
| 2009-01-23 holding as of filing | ARCHER DENNIS W Director | 4 | Phantom Stock Units/Directors' Retirement Stock Account Derivative · Direct | Holding | 10,123 owned after | no price filed | 2009-01-23 | |
| 2009-01-21 | LACY WILLIAM H Director | 4 | Phantom Stock Units / Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,097 53,091 owned after | $14.09 | 2009-01-23 | |
| 2009-01-21 | 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) | +9,315 53,710 owned after | $14.09 | 2009-01-23 | |
| 2009-01-21 | Goodman Richard Director | 4 | Phantom Stock Units/Directors' Deferred Compensation Plan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,097 7,097 owned after | $14.09 | 2009-01-23 | |
| 2009-01-21 | 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) | +9,315 100,285 owned after | $14.09 | 2009-01-23 | |
| 2009-01-21 | 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) | +8,872 18,781 owned after | $14.09 | 2009-01-23 | |
| 2009-01-21 | 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) | +7,984 37,692 owned after | $14.09 | 2009-01-23 | |
| 2009-01-21 | 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) | +7,097 192,156 owned after | $14.09 | 2009-01-23 | |
| 2009-01-21 | 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) | +7,097 25,210 owned after | $14.09 | 2009-01-23 | |
| 2009-01-06 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 3/A | Phantom Stock Units - EICP Derivative · Direct | Holding | no price filed | 2009-01-06 | ||
| 2009-01-06 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 3/A | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | no price filed | 2009-01-06 | ||
| 2009-01-06 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units/Annual Incentive Plan Derivative · Direct | Holding | 2,693 owned after | no price filed | 2009-01-06 | |
| 2009-01-06 holding as of filing | Harvey Charles A Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 578 owned after | no price filed | 2009-01-06 | |
| 2009-01-06 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 83,485 owned after | no price filed | 2009-01-06 | |
| 2009-01-06 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units - Long-Term Incentive Plan Derivative · Direct | Holding | 8,066 owned after | no price filed | 2009-01-06 | |
| 2009-01-06 holding as of filing | VALANJU SUBHASH S Officer (Vice President and CIO) | 4 | Phantom Stock Units/Excess Benefit Plan-Common Derivative · Direct | Holding | 5,979 owned after | no price filed | 2009-01-06 | |
| 2009-01-06 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Excess Benefit Plan Derivative · Direct | Holding | 1,227 owned after | no price filed | 2009-01-06 | |
| 2009-01-06 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Annual Incentive Plan Derivative · Direct | Holding | 12,272 owned after | no price filed | 2009-01-06 | |
| 2009-01-06 holding as of filing | Edwards Jeffrey S Officer (Vice President) | 4 | Phantom Stock Units - Restricted Stock Plan Derivative · Direct | Holding | 1,306 owned after | no price filed | 2009-01-06 |