Edgar Filing: JOHNSON CONTROLS INC

Ownership Submission

FORM 4

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

Molinaroli Alex A

2. Issuer Name and Ticker or Trading Symbol
JOHNSON CONTROLS INC [JCI]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

_____ Director	_____ 10% Owner
__X__ Officer (give title below)	_____ Other (specify below)
Chairman & CEO

(Last)

(First)

(Middle)

5757 N. GREEN BAY AVENUE, P.O. BOX 591

3. Date of Earliest Transaction (Month/Day/Year)
09/02/2016

(Street)

MILWAUKEE, WI 53201

4. If Amendment, Date Original Filed(Month/Day/Year)

6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

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 Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1.Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	09/02/2016		D		26,823.865	D	⁽¹⁾	0	I	by 401(k) Trustee
Common Stock	09/02/2016		M		94,387.621	A	$ 0	410,235.338	D
Common Stock	09/02/2016		M		36,932.248	A	$ 0	447,167.586	D
Common Stock	09/02/2016		M		45,304.543	A	$ 0	492,472.129	D
Common Stock	09/02/2016		M		13,295.433	A	$ 0	505,767.562	D
Common Stock	09/02/2016		D		94,387.621	D	$ 48.9	411,379.941	D
Common Stock	09/02/2016		D		36,932.248	D	$ 48.9	374,447.693	D
Common Stock	09/02/2016		D		45,304.543	D	$ 48.9	329,143.15	D
Common Stock	09/02/2016		D		13,295.433	D	$ 48.9	315,847.717	D
Common Stock	09/02/2016		D		315,847.717 ⁽²⁾ ⁽³⁾	D	⁽¹⁾	0	D

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
	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 control number.		SEC 1474 (9-02)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

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 Underlying Securities
(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 of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Phantom Stock Units - Annual Incentive Plan

$ 0 ⁽⁴⁾

09/02/2016

94,387.621

⁽⁵⁾

Common Stock

94,387.621 ⁽⁶⁾

$ 0

Phantom Stock Units - Long Term Incentive Plan

$ 0 ⁽⁴⁾

09/02/2016

36,932.248

⁽⁷⁾

Common Stock

36,932.248 ⁽⁸⁾

$ 0

Phantom Stock Units - Retirement Restoration Plan

$ 0 ⁽⁴⁾

09/02/2016

16,287.616

⁽⁹⁾

Common Stock

16,287.616 ⁽¹⁰⁾

$ 0

Phantom Stock Units - Restricted Stock Plan

$ 0 ⁽⁴⁾

09/02/2016

45,304.543

⁽¹¹⁾

Common Stock

45,304.543

$ 0

107,977.888

Phantom Stock Units - Restricted Stock Plan

$ 0 ⁽⁴⁾

09/02/2016

13,295.433

⁽¹¹⁾

Common Stock

13,295.433

$ 0

94,682.455

Phantom Stock Units - Restricted Stock Plan

$ 0 ⁽⁴⁾

09/02/2016

94,682.455

⁽¹¹⁾

Common Stock

94,682.455 ⁽¹²⁾

$ 0

Employee Stock Option (Right to Buy)

$ 43.86

09/02/2016

217,604

10/07/2017⁽¹³⁾

10/07/2025

Common Stock

217,604

⁽¹⁴⁾

Employee Stock Option (Right to Buy)

$ 50.23

09/02/2016

169,924

11/18/2016⁽¹³⁾

11/18/2024

Common Stock

169,924

⁽¹⁴⁾

Employee Stock Option (Right to Buy)

$ 40.21

09/02/2016

90,000

10/01/2009

10/01/2017

Common Stock

90,000

⁽¹⁴⁾

Employee Stock Option (Right to Buy)

$ 30.54

09/02/2016

135,000

10/01/2012

10/01/2020

Common Stock

135,000

⁽¹⁴⁾

Employee Stock Option (Right to Buy)

$ 28.54

09/02/2016

125,000

10/07/2013

10/07/2021

Common Stock

125,000

⁽¹⁴⁾

Employee Stock Option (Right to Buy)

$ 27.85

09/02/2016

72,900

10/05/2014

10/05/2022

Common Stock

72,900

⁽¹⁴⁾

Employee Stock Option (Right to Buy)

$ 30.73

09/02/2016

65,100

01/23/2015

01/23/2023

Common Stock

65,100

⁽¹⁴⁾

Employee Stock Option (Right to Buy)

$ 48.37

09/02/2016

153,061

11/19/2015

11/19/2023

Common Stock

153,061

⁽¹⁴⁾

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
Molinaroli Alex A 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201			Chairman & CEO

Signatures

/s/ Catherine M. Walker, attorney-in-fact for Alex A. Molinaroli		09/07/2016
^**Signature of Reporting Person		Date

Explanation of Responses:

*	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).
(1)	Each share of Johnson Controls, Inc. ("Johnson Controls") was converted into 0.8357 ordinary shares of Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") and $5.7293 in cash in connection with the closing of the merger between Johnson Controls and JCI plc (the "merger").
(2)	Includes 6,448.572 shares acquired via dividend reinvestment on April 4, July 5 and August 19, 2016 at prices ranging from $38.76 to $45.03 per share.
(3)	The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger.
(4)	Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
(5)	The phantom stock units accrued under the Johnson Controls Annual Incentive Plan and settled 100% in cash.
(6)	Includes 2,486.981 units acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per unit.
(7)	The phantom stock units accrued under the Johnson Controls Long-Term Incentive Plan and were settled 100% in cash.
(8)	Includes 1,243.161 units acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per unit.
(9)	The phantom stock units accrue under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's retirement or termination of employment with the company.
(10)	Includes 1,308.111 units acquired via dividend reinvestment on April 2, July 2, October 2, 2013, January 6, April 2, July 2, October 2, 2014, January 5, April 2, July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $50.92 per unit.
(11)	The phantom stock units accrue under the Johnson Controls Restricted Stock Plan and settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements.
(12)	Includes 4,249.779 units acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per unit.
(13)	Fifty percent of the options vest after two years and the remaining 50% vests after three years.
(14)	The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger.

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