Sec Form 4 Filing - Stief Brian J @ JOHNSON CONTROLS INC - 2016-09-02

Insider filing report for Changes in Beneficial Ownership
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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
Stief Brian J
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)
EVP & Chief Financial Officer
(Last) (First) (Middle)
5757 N. GREEN BAY AVENUE, P.O. BOX 591
3. Date of Earliest Transaction (MM/DD/YY)
09/02/2016
(Street)
MILWAUKEE, WI53201
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 09/02/2016 D 15,740 D 0 D
Common Stock 09/02/2016 M 3,939.079 A $ 0 3,939.079 D
Common Stock 09/02/2016 D 3,939.079 D $ 48.9 0 D
Common Stock 09/02/2016 M 102,093.583 A $ 0 102,093.583 D
Common Stock 09/02/2016 D 102,093.583 D $ 48.9 0 D
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) $ 30.54 09/02/2016 D 35,000 10/01/2012 10/01/2020 Common Stock 35,000 ( 2 ) 0 D
Employee Stock Option (Right to Buy) $ 28.54 09/02/2016 D 34,500 10/07/2013 10/07/2021 Common Stock 34,500 ( 2 ) 0 D
Employee Stock Option (Right to Buy) $ 27.85 09/02/2016 D 21,500 10/05/2014 10/05/2022 Common Stock 21,500 ( 2 ) 0 D
Employee Stock Option (Right to Buy) $ 48.37 09/02/2016 D 14,353 11/19/2015 11/19/2023 Common Stock 14,353 ( 2 ) 0 D
Employee Stock Option (Right to Buy) $ 50.23 09/02/2016 D 32,175 11/18/2016( 3 ) 11/18/2024 Common Stock 32,175 ( 2 ) 0 D
Employee Stock Option (Right to Buy) $ 43.86 09/02/2016 D 45,627 10/07/2017( 3 ) 10/07/2025 Common Stock 45,627 ( 2 ) 0 D
Phantom Stock Units - Restricted Stock Plan $ 0 ( 4 ) 09/02/2016 M 3,939.079 ( 5 ) ( 5 ) Common Stock 3,939.079 $ 0 173,509.301 D
Phantom Stock Units - Restricted Stock Plan $ 0 ( 4 ) 09/02/2016 M 102,093.583 ( 5 ) ( 5 ) Common Stock 102,093.583 $ 0 71,415.718 D
Phantom Stock Units - Restricted Stock Plan $ 0 ( 4 ) 09/02/2016 D 71,415.718 ( 5 ) ( 5 ) Common Stock 71,415.718 ( 6 ) $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Stief Brian J
5757 N. GREEN BAY AVENUE
P.O. BOX 591
MILWAUKEE, WI53201
EVP & Chief Financial Officer
Signatures
/s/ Catherine M. Walker, attorney-in-fact for Brian J. Stief 09/06/2016
Signature of Reporting Person Date
Explanation of Responses:
( 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 )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.
( 3 )Fifty percent of the options vest after two years and the remaining 50% vests after three years.
( 4 )Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
( 5 )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.
( 6 )Includes 4,919.78 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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