FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
JOHNSON CONTROLS INC [ JCI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 09/30/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Common Stock | 08/15/2003 | Z | 110,834 | D | (2) | 7,378(1) | D | ||||||||
Common Stock | 08/15/2003 | Z | 63,110 | A | (2) | 63,110 | I | By John M Barth Trust | |||||||
Common Stock | 08/15/2003 | Z | 47,724 | A | (2) | 47,724 | I | By Eileen M. Barth Trust | |||||||
Common Stock | 4,761 | I | By 401(k) Plan Trust | ||||||||||||
Preferred Stock | 1,229.045(3) | I | By ESOP 401(k) Plan Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Phantom Stock Units/LTPP | (4) | (5) | (5) | Common Stock | 13,472.48 | 13,472.48(6) | D | |||||||
Phantom Stock Units/Restricted Stock Plan | (4) | (7) | (7) | Common Stock | 25,745.35 | 25,745.35(8) | D | |||||||
Phantom Stock Units/Excess 401(k) Plan-Common | (4) | (9) | (9) | Common Stock | 3,591.848 | 3,591.848(10) | D | |||||||
Phantom Stock Units/Excess 401(k) Plan-Preferred | (4) | (9) | (9) | Common Stock | 4,611.264 | 4,611.264(11) | D |
Explanation of Responses: |
1. Includes 27.112 shares acquired through the reinvestment of dividends on September 30, 2003 at a price of $94.7992 per share. |
2. Deposit into a family trust |
3. Includes 6.411 shares acquired through the reinvestment of dividends on September 30, 2003 at a price of $189.20 per share. |
4. The phantom stock units convert to the common stock's cash value on a one-for-one basis. |
5. The phantom stock units were accrued under the Johnson Controls Long-Term Performance Plan and are to be settled 100% in cash upon the reporting person's retirement. |
6. Includes 51.08 phantom stock units acquired through the reinvestment of dividends on September 30, 2003 at a price of $94.60 per phantom unit. |
7. The phantom stock units were accrued under the Johnson Controls Deferred Restricted Stock Plan and are to be settled 100% in cash upon the reporting person's retirement. |
8. Includes 97.60 phantom stock units acquired through the reinvestment of dividends on September 30, 2003 at a price of $94.60 per phantom unit. |
9. The phantom stock units were accrued under the Johnson Controls Equalization 401(k) Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement. |
10. Includes 29.448 phantom stock units acquired through the reinvestment of dividends on June 30, 2003 and September 30, 2003 at prices of $85.60 and $94.60 per phantom unit. |
11. Includes 50.464 phantom stock units acquired through a company match and the reinvestment of dividends on June 30, 2003 and September 30, 2003 at prices of $171.20 and $189.20 per phantom unit. |
Remarks: |
Arlene D. Gumm, Attorney-in-fact for John M. Barth | 11/13/2003 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |