Johnson Controls Form 4 JOHNSON CONTROLS / Simon Davis ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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).

1. Name and Address of Reporting Person^*

Davis Simon

(Last) (First) (Middle)

5757 N. GREEN BAY AVE.

(Street)

MILWAUKEE WI 53209

(City) (State) (Zip)

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, Chief Human Resources Ofcr

3. Date of Earliest Transaction (Month/Day/Year)
10/07/2015

4. If Amendment, Date of 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

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/07/2015		M		116.659	A	$43.86	19,452.322(1)	D
Common Stock	10/07/2015		D		116.659	D	$43.86	19,335.663	D
Common Stock	10/07/2015		A		3,739	A	$0	23,074.663	D
Common Stock	10/07/2015		A		11,217	A	$0	34,291.663	D
Common Stock								213.41(2)	I	By 401(k) Plan Trust

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 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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Phantom Stock Units - Restricted Stock Plan	(3)	10/07/2015		M			116.659	(4)	(4)	Common Stock	116.659	$0	92.584(5)	D
Phantom Stock Units - Restricted Stock Plan	(3)	10/07/2015		A		3,739		(4)	(4)	Common Stock	3,739	$0	3,831.584	D
Phantom Stock Units - Restricted Stock Plan	(3)	10/07/2015		A		11,218		(4)	(4)	Common Stock	11,218	$0	15,049.584	D
Employee Stock Option (Right to Buy)	$43.86	10/07/2015		A		24,942		10/07/2017(6)	10/07/2025	Common Stock	24,942	$0	24,942	D
Employee Stock Option (Right to Buy)	$24.87							10/01/2011	10/01/2019	Common Stock	11,300		11,300	D
Employee Stock Option (Right to Buy)	$30.54							10/01/2012	10/01/2020	Common Stock	9,500		9,500	D
Employee Stock Option (Right to Buy)	$28.54							10/07/2013	10/07/2021	Common Stock	12,500		12,500	D
Employee Stock Option (Right to Buy)	$27.85							10/05/2014	10/05/2022	Common Stock	16,100		16,100	D
Employee Stock Option (Right to Buy)	$48.37							11/19/2015(6)	11/19/2023	Common Stock	10,204		10,204	D
Employee Stock Option (Right to Buy)	$50.23							11/18/2016(6)	11/18/2024	Common Stock	18,661		18,661	D

Explanation of Responses:

1. The balance includes 47.473 shares acquired via dividend reinvestment on July 2, 2015 at $49.44 per share.

2. The number of underlying securities is based on the stock fund balance on September 30, 2015. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consisting of 96% company stock and 4% money market fund. The stock account balance reflected in this report is based on a September 30, 2015 stock fund price of $41.36 per share.

3. Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.

4. The phantom stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes dividend equivalent units that settle 100% in cash and relate to restricted stock awards.

5. The balance includes 64.789 phantom stock units acquired via dividend reinvestment on January 5, April 2, and July 2, 2015, at prices ranging from $46.31 to $50.16 per unit.

6. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.

	/s/ Angela Blair, attorney-in-fact for Simon Davis	10/08/2015
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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