SEC Info - Cadwallader Brian J - ‘3’ for 1/29/14 re: Johnson Controls Inc.

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person^*

Cadwallader Brian J

(Last)

(First)

(Middle)

5757 N GREEN BAY AVE

(Street)

MILWAUKEE

53209

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
1/29/14

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

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

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP and Assistant Secretary

5. 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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	10,768.76	D
Common Stock	3,614.844 ⁽¹⁾	I	By 401(k) Plan Trustee

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Phantom Stock Units - Restricted Stock Plan	⁽²⁾	⁽²⁾	Common Stock	4,729.591	⁽³⁾	D
Phantom Stock Units - Annual Incentive Plan	⁽⁴⁾	⁽⁴⁾	Common Stock	947.332	⁽³⁾	D
Employee Stock Option (Right to Buy)	10/1/12	10/1/20	Common Stock	12,000	30.54	D
Employee Stock Option (Right to Buy)	10/7/13	10/7/21	Common Stock	12,500	28.54	D
Employee Stock Option (Right to Buy)	10/5/14 ⁽⁵⁾	10/5/22	Common Stock	16,100	27.85	D
Employee Stock Option (Right to Buy)	11/19/15 ⁽⁵⁾	11/19/23	Common Stock	14,455	48.37	D

Explanation of Responses:

(1) The number of underlying securities is based on the stock fund balance on February 4, 2014. 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 February 4, 2014, stock fund price of $44.75 per share.

(2) The phantom 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.

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

(4) The phantom stock units were accrued under the Johnson Controls Annual Incentive Plan and are to be settled 100% in cash upon the reporting person's termination of employment with or retirement from the company. The units may be transferred into an alternative investment account at any time.

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

	/s/ Angela M. Blair, Attorney-in-Fact for Brian J. Cadwallader	2/6/14
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

Cadwallader Brian J – ‘3’ for 1/29/14 re: Johnson Controls Inc.

On: Thursday, 2/6/14, at 1:11pm ET · For: 1/29/14 · As: Officer · Accession #: 1127602-14-4727 · File #: 1-05097

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Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
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