Sec Form 4 Filing - VOLTOLINA FRANK A @ JOHNSON CONTROLS INC - 2013-01-22

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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
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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1. Name and Address of Reporting Person
VOLTOLINA FRANK 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)
Vice President and Treasurer
(Last) (First) (Middle)
5757 N. GREEN BAY AVENUE, P.O. BOX 591
3. Date of Earliest Transaction (MM/DD/YY)
01/22/2013
(Street)
MILWAUKEE, WI53201-0591
4. If Amendment, Date Original Filed (MM/DD/YY)
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 (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 01/22/2013 M 3,000 A $ 20.5633 52,181.581 D
Common Stock 01/22/2013 S 3,000 D $ 31.01 49,182.581 D
Common Stock 01/23/2013 M 21,000 A $ 20.5633 70,182.581 D
Common Stock 01/23/2013 S 21,000 D $ 30.654 49,182.581 D
Common Stock 6,756.79 ( 1 ) 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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 V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) $ 20.5633 01/22/2013 M 3,000 11/17/2006 11/17/2014 Common Stock 3,000 $ 0 21,000 D
Employee Stock Option (Right to Buy) $ 20.5633 01/23/2013 M 21,000 11/17/2006 11/17/2004 Common Stock 21,000 $ 0 0 D
Phantom Stock Units - Restricted Stock Grants ( 2 ) ( 3 ) ( 3 ) Common Stock 35,817.375 35,817.375 ( 4 ) D
Phantom Stock Units - Long-Term Incentive Plan ( 2 ) ( 5 ) ( 5 ) Common Stock 5,539.451 5,539.451 ( 6 ) D
Phantom Stock Units - Retirement Restoration Plan ( 2 ) ( 7 ) ( 7 ) Common Stock 12,548.563 12,548.563 ( 8 ) D
Employee Stock Option (Right to Buy) $ 22.5617 11/16/2007 11/16/2015 Common Stock 60,000 60,000 D
Employee Stock Option (Right to Buy) $ 23.965 10/02/2008 10/02/2016 Common Stock 48,000 48,000 D
Employee Stock Option (Right to Buy) $ 40.21 10/01/2009 10/01/2017 Common Stock 36,000 36,000 D
Employee Stock Option (Right to Buy) $ 28.79 10/01/2010 10/01/2018 Common Stock 48,000 48,000 D
Employee Stock Option (Right to Buy) $ 24.87 10/01/2011 10/01/2019 Common Stock 48,000 48,000 D
Employee Stock Option (Right to Buy) $ 30.54 10/01/2012( 9 ) 10/01/2020 Common Stock 35,000 35,000 D
Employee Stock Option (Right to Buy) $ 28.54 10/07/2013( 9 ) 10/07/2021 Common Stock 32,500 32,500 D
Employee Stock Option (Right to Buy) $ 27.85 10/05/2014( 9 ) 10/05/2022 Common Stock 18,600 18,600 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
VOLTOLINA FRANK A
5757 N. GREEN BAY AVENUE
P.O. BOX 591
MILWAUKEE, WI53201-0591
Vice President and Treasurer
Signatures
Angela M. Blair, Attorney-in-fact for Frank A. Voltolina 01/24/2013
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The number of underlying securities is based on the stock fund balance on January 3, 2013. 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 January 3, 2013, stock fund price of $31.80 per share.
( 2 )Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
( 3 )The restricted stock units accrue under the Johnson Controls Restricted Stock Plan. The balance includes phantom stock and dividend equivalent units that settle 100% in cash and relate to restricted stock awards.
( 4 )Includes 263.789 phantom stock units acquired on December 28, 2012 via dividend reinvestment at $30.11 per phantom stock unit.
( 5 )The phantom stock units were accrued under the Johnson Controls Long Term Incentive Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
( 6 )Includes 34.735 phantom stock units acquired on December 28, 2012 via dividend reinvestment at $30.11 per phantom stock unit.
( 7 )The phantom stock units were accrued under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company.
( 8 )Includes 78.687 phantom stock units acquired on December 28, 2012 via dividend reinvestment at $30.11 per phantom stock unit.
( 9 )Fifty percent of the options vest after two years and the remaining 50% vests after three years.

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