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 ^*

Walicki Joseph 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)
VP & Pres., Power Solutions

(Last)

(First)

(Middle)

5757 N GREEN BAY AVE

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

(Street)

MILWAUKEE, WI 53209

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		4,419.895	D	⁽¹⁾	0	I	by 401k Plan Trustee
Common Stock	09/02/2016		F		495	D	$ 45.45	92,332.515 ⁽²⁾	D
Common Stock	09/02/2016		D		92,332.515	D	⁽¹⁾	0	D
Common Stock	09/02/2016		M		136.572	A	$ 0	136.572	D
Common Stock	09/02/2016		D		136.572	D	$ 45.45	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

Employee Stock Option (Right to Buy)

$ 40.21

09/02/2016

9,600

10/01/2009

10/01/2017

Common Stock

9,600

⁽³⁾

Employee Stock Option (Right to Buy)

$ 28.79

09/02/2016

12,000

10/01/2010

10/01/2018

Common Stock

12,000

⁽³⁾

Employee Stock Option (Right to Buy)

$ 24.87

09/02/2016

15,000

10/01/2011

10/01/2019

Common Stock

15,000

⁽³⁾

Employee Stock Option (Right to Buy)

$ 30.54

09/02/2016

13,200

10/01/2012

10/01/2020

Common Stock

13,200

⁽³⁾

Employee Stock Option (Right to Buy)

$ 28.54

09/02/2016

12,500

10/07/2013

10/07/2021

Common Stock

12,500

⁽³⁾

Employee Stock Option (Right to Buy)

$ 27.85

09/02/2016

16,100

10/05/2014

10/05/2022

Common Stock

16,100

⁽³⁾

Employee Stock Option (Right to Buy)

$ 48.37

09/02/2016

11,428

11/19/2015

11/19/2023

Common Stock

11,428

⁽³⁾

Employee Stock Option (Right to Buy)

$ 50.23

09/02/2016

14,478

11/18/2016⁽⁴⁾

11/18/2024

Common Stock

14,478

⁽³⁾

Employee Stock Option (Right to Buy)

$ 46.31

09/02/2016

8,722

01/05/2017⁽⁴⁾

01/05/2025

Common Stock

8,722

⁽³⁾

Employee Stock Option (Right to Buy)

$ 43.86

09/02/2016

50,038

10/07/2017⁽⁴⁾

10/07/2025

Common Stock

50,038

⁽³⁾

Phantom Stock Units - Restricted Stock Plan

⁽⁵⁾

09/02/2016

136.572

⁽⁶⁾

Common Stock

136.572 ⁽⁷⁾

$ 0

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
Walicki Joseph A 5757 N GREEN BAY AVE MILWAUKEE, WI 53209			VP & Pres., Power Solutions

Signatures

/s/ Catherine M. Walker, Attorney-in-Fact for Joseph A. Walicki		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 2,059.74 shares acquired via dividend reinvestment on October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per share.
(3)	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.
(4)	Fifty percent of the stock options vest after two years, and the remaining stock options vest after three years.
(5)	Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock, and the phantom stock units were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger.
(6)	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.
(7)	Includes 43.99 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.

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