Document:

Zynga Inc. 2011 Employee Stock Purchase Plan

 Exhibit 10.20 
 ZYNGA INC. 
 2011 EMPLOYEE
STOCK PURCHASE PLAN 
 ADOPTED BY
THE BOARD OF DIRECTORS: SEPTEMBER 14, 2011 

APPROVED BY THE STOCKHOLDERS: NOVEMBER 28, 2011

  

	1.	GENERAL; PURPOSE. 

 (a) The Plan provides a means by which Eligible Employees of the Company and certain Designated Companies may be given an opportunity to purchase shares of Common Stock. The Plan permits the
Company to grant a series of Purchase Rights to Eligible Employees. 
 (b) The Company, by means of the Plan, seeks to
retain the services of such Employees, to secure and retain the services of new Employees and to provide incentives for such persons to exert maximum efforts for the success of the Company and its Related Corporations. 

(c) This Plan includes two components: a 423 Component and a Non-423 Component. It is the intention of the Company to have the 423
Component qualify as an Employee Stock Purchase Plan. The provisions of the 423 Component, accordingly, shall be construed in a manner that is consistent with the requirements of Section 423 of the Code. In addition, this Plan authorizes the
grant of Purchase Rights under the Non-423 Component that does not meet the requirements of an Employee Stock Purchase Plan because of deviations necessary to permit participation in the Plan by Employees who are foreign nationals or employed
outside of the United States while complying with applicable foreign laws; such Purchase Rights shall be granted pursuant to rules, procedures or subplans adopted by the Board designed to achieve these objectives for Eligible Employees and the
Company and its Related Corporations. Except as otherwise provided herein or determined by the Board, the Non-423 Component will operate and be administered in the same manner as the 423 Component. 

(d) If a Participant transfers employment from the Company or any Designated 423 Corporation participating in the 423 Component to
a Designated Non-423 Corporation participating in the Non-423 Component, he or she shall immediately cease to participate in the 423 Component; however, any Contributions made for the Purchase Period in which such transfer occurs shall be
transferred to the Non-423 Component, and such Participant shall immediately join the then current Offering under the Non-423 Component upon the same terms and conditions in effect for his or her participation in the Plan, except for such
modifications as may be required by applicable law. A Participant who transfers employment from a Designated Non-423 Corporation participating in the Non-423 Component to the Company or any Designated 423 Corporation participating in the 423
Component shall remain a Participant in the Non-423 Component until the earlier of (i) the end of the current Offering Period under the Non-423 Component, or (ii) the Offering Date of the first Offering in which he or she participates
following such transfer. 

  
 1 

	2.	ADMINISTRATION. 

 (a) The Board will administer the Plan unless and until the Board delegates administration of the Plan to a Committee or Committees, as provided in Section 2(c). 

(b) The Board will have the power, subject to, and within the limitations of, the express provisions of the Plan: 

(i) To determine how and when Purchase Rights will be granted and the provisions of each Offering (which need not be identical),
including which Designated 423 Corporations and Designated Non-423 Corporations shall participate in the 423 Component or the Non-423 Component. 
 (ii) To designate from time to time which Related Corporations of the Company will be eligible to participate in the Plan as Designated 423 Corporations and Designated Non-423 Corporations and
which Affiliates will be eligible to participate in the Plan as Designated Non-423 Corporations. 
 (iii) To construe and
interpret the Plan and Purchase Rights, and to establish, amend and revoke rules and regulations for its administration. The Board, in the exercise of this power, may correct any defect, omission or inconsistency in the Plan, in a manner and to the
extent it deems necessary or expedient to make the Plan fully effective. 
 (iv) To settle all controversies regarding
the Plan and Purchase Rights granted under the Plan. 
 (v) To suspend or terminate the Plan at any time as provided in
Section 12. 
 (vi) To amend the Plan at any time as provided in Section 12. 

(vii) Generally, to exercise such powers and to perform such acts as it deems necessary or expedient to promote the best interests
of the Company and its Related Corporations and to carry out the intent that the 423 Component be treated as an Employee Stock Purchase Plan. 
 (viii) To adopt such procedures and sub-plans as are necessary or appropriate to permit participation in the Plan by Employees who are foreign nationals or employed outside the United States.
Without limiting the generality of, but consistent with, the foregoing, the Board specifically is authorized to adopt rules, procedures and subplans, which, for purposes of the Non-423 Component, may be outside the scope of Section 423 of the
Code, regarding, without limitation, eligibility to participate in the Plan, handling and making of Contributions, establishment of bank or trust accounts to hold Contributions, payment of interest, conversion of local currency, obligations to pay
payroll tax, determination of beneficiary designation requirements, withholding procedures and handling of share issuances, which may vary according to local requirements. 

  
 2 

 (c) The Board may delegate some or all of the administration of the Plan to a
Committee or Committees. If administration is delegated to a Committee, the Committee will have, in connection with the administration of the Plan, the powers theretofore possessed by the Board that have been delegated to the Committee, including
the power to delegate to a subcommittee any of the administrative powers the Committee is authorized to exercise (and references in this Plan to the Board will thereafter be to the Committee or subcommittee), subject, however, to such resolutions,
not inconsistent with the provisions of the Plan, as may be adopted from time to time by the Board. The Board may retain the authority to concurrently administer the Plan with the Committee and may, at any time, revest in the Board some or all of
the powers previously delegated. Whether or not the Board has delegated administration of the Plan to a Committee, the Board will have the final power to determine all questions of policy and expediency that may arise in the administration of the
Plan. 
 (d) All determinations, interpretations and constructions made by the Board in good faith will not be subject to
review by any person and will be final, binding and conclusive on all persons. 
  

	3.	SHARES OF COMMON STOCK SUBJECT TO THE PLAN.

 (a) Subject to the provisions of Section 11(a) relating to Capitalization
Adjustments, the maximum number of shares of Common Stock that may be issued under the Plan will not exceed 8,500,000 shares of Common Stock, plus the number of shares that are automatically added on January 1st of each year for a period of up
to ten years, commencing on the first January 1 following the IPO Date and ending on (and including) January 1, 2021, in an amount equal to the lesser of (i) 2% of the total number of shares of Capital Stock outstanding on
December 31st of the preceding calendar year, and (ii) 25,000,000 shares of Common Stock. Notwithstanding the foregoing, the Board may act prior to the first day of any calendar year to provide that there will be no January 1st increase in the share reserve for such calendar year or that the
increase in the share reserve for such calendar year will be a lesser number of shares of Common Stock than would otherwise occur pursuant to the preceding sentence. 
 (b) If any Purchase Right granted under the Plan terminates without having been exercised in full, the shares of Common Stock not purchased under such Purchase Right will again become available for
issuance under the Plan. 
 (c) The stock purchasable under the Plan will be shares of authorized but unissued or
reacquired Common Stock, including shares repurchased by the Company on the open market. 
  

	4.	GRANT OF PURCHASE RIGHTS; OFFERING. 

(a) The Board may from time to time grant or provide for the grant of Purchase Rights to Eligible Employees under an Offering on
Offering Dates selected by the Board. Each Offering will be in such form and will contain such terms and conditions as the Board will deem appropriate, and with respect to the 423 Component will comply with the requirement of Section 423(b)(5)
of the Code that all Employees granted Purchase Rights will have the same rights and privileges. The provisions of separate Offerings need not be identical, but each Offering will include (through incorporation of the provisions of this Plan by
reference in the document 

  
 3 

 
comprising the Offering or otherwise) the period during which the Offering will be effective, which period will not exceed 27 months beginning with the Offering Date, and the substance of the
provisions contained in Sections 5 through 8, inclusive. 
 (b) If a Participant has more than one Purchase Right
outstanding under the Plan, unless he or she otherwise indicates in forms delivered to the Company: (i) each form will apply to all of his or her Purchase Rights under the Plan, and (ii) a Purchase Right with a lower exercise price (or an
earlier-granted Purchase Right, if different Purchase Rights have identical exercise prices) will be exercised to the fullest possible extent before a Purchase Right with a higher exercise price (or a later-granted Purchase Right if different
Purchase Rights have identical exercise prices) will be exercised. 
 (c) The Board will have the discretion to structure
an Offering so that if the Fair Market Value of the shares of Common Stock on the first Trading Day of a new Purchase Period within that Offering is less than or equal to the Fair Market Value of the shares of Common Stock on the Offering Date, then
(i) that Offering will terminate immediately as of that first Trading Day, and (ii) the Participants in such terminated Offering will be automatically enrolled in a new Offering beginning on the first Trading Day of such new Purchase
Period. 
  

	5.	ELIGIBILITY. 

 (a) Purchase Rights may be granted only to Employees of the Company or, as the Board may designate in accordance with Section 2(b), to Employees of a Related Corporation or an Affiliate.
Except as provided in Section 5(b), an Employee will not be eligible to be granted Purchase Rights unless, on the Offering Date, the Employee has been in the employ of the Company, a Related Corporation or an Affiliate, as the case may be, for
such continuous period preceding such Offering Date as the Board may require, but in no event will the required period of continuous employment be equal to or greater than two years. In addition, the Board may (unless prohibited by law) provide that
no Employee will be eligible to be granted Purchase Rights under the Plan unless, on the Offering Date, such Employee’s customary employment with the Company, the Related Corporation or the Affiliate is more than 20 hours per week and more than
five months per calendar year or such other criteria as the Board may determine consistent with Section 423 of the Code. 

(b) The Board may provide that each person who, during the course of an Offering, first becomes an Eligible Employee shall, on or
after the day on which such person becomes an Eligible Employee, receive a Purchase Right under that Offering, which Purchase Right will thereafter be deemed to be a part of that Offering. Such Purchase Right will have the same characteristics as
any Purchase Rights originally granted under that Offering, as described herein, except that: 
 (i) the date on which
such Purchase Right is granted will be the “Offering Date” of such Purchase Right for all purposes, including determination of the exercise price of such Purchase Right; 

(ii) the period of the Offering with respect to such Purchase Right will begin on its Offering Date and end coincident with the
end of the original Offering; and 

  
 4 

 (iii) the Board may provide that if such person first becomes an Eligible Employee
within a specified period of time before the end of the Offering, he or she will not receive any Purchase Right under that Offering. 
 (c) No Employee will be eligible for the grant of any Purchase Rights if, immediately after any such Purchase Rights are granted, such Employee owns stock possessing five percent or more of the
total combined voting power or value of all classes of stock of the Company or of any Related Corporation (unless otherwise required by law). For purposes of this Section 5(c), the rules of Section 424(d) of the Code will apply in
determining the stock ownership of any Employee, and stock which such Employee may purchase under all outstanding Purchase Rights and options will be treated as stock owned by such Employee. 

(d) As specified by Section 423(b)(8) of the Code, an Eligible Employee may be granted Purchase Rights only if such Purchase
Rights, together with any other rights granted under all Employee Stock Purchase Plans of the Company and any Related Corporations, do not permit such Eligible Employee’s rights to purchase stock of the Company or any Related Corporation to
accrue at a rate which exceeds $25,000 of Fair Market Value of such stock (determined at the time such rights are granted, and which, with respect to the Plan, will be determined as of their respective Offering Dates) for each calendar year in which
such rights are outstanding at any time. 
 (e) Officers of the Company and any Designated Company, if they are otherwise
Eligible Employees, will be eligible to participate in Offerings under the Plan. Notwithstanding the foregoing, the Board may (unless prohibited by law) provide in an Offering that Employees who are highly compensated Employees within the meaning of
Section 423(b)(4)(D) of the Code will not be eligible to participate. 
  

	6.	PURCHASE RIGHTS; PURCHASE PRICE. 

(a) On each Offering Date, each Eligible Employee will be granted a Purchase Right under the applicable Offering to purchase up to
that number of shares of Common Stock purchasable either with a percentage or with a maximum dollar amount, as designated by the Board but in either case not exceeding 15%, of such Employee’s earnings (as defined by the Board in each Offering)
during the period that begins on the Offering Date (or such other date as the Board determines for a particular Offering) and ends on the date stated in the Offering, which date will be no later than the end of the Offering. 

(b) The Board will establish one or more Purchase Dates during an Offering on which Purchase Rights granted for that Offering will
be exercised and shares of Common Stock will be purchased in accordance with such Offering. 
 (c) In connection with
each Offering made under the Plan, the Board may specify (i) a maximum number of shares of Common Stock that may be purchased by any Participant on any Purchase Date during such Offering, (ii) a maximum aggregate number of shares of Common
Stock that may be purchased by all Participants pursuant to such Offering and/or (iii) a maximum aggregate number of shares of Common Stock that may be purchased by all Participants on any Purchase Date under the Offering. If the aggregate
purchase of shares of 

  
 5 

 
Common Stock issuable upon exercise of Purchase Rights granted under the Offering would exceed any such maximum aggregate number, then, in the absence of any Board action otherwise, a pro rata
(based on each Participant’s accumulated Contributions) allocation of the shares of Common Stock available will be made in as nearly a uniform manner as will be practicable and equitable. 

(d) The purchase price of shares of Common Stock acquired pursuant to Purchase Rights will be not less than the lesser of:

 (i) an amount equal to (85%) of the Fair Market Value of the shares of Common Stock on the Offering Date; or

 (ii) an amount equal to (85%) of the Fair Market Value of the shares of Common Stock on the applicable Purchase
Date. 
  

	7.	PARTICIPATION; WITHDRAWAL; TERMINATION. 

(a) An Eligible Employee may elect to authorize payroll deductions as the means of making Contributions by completing and
delivering to the Company, within the time specified in the Offering, an enrollment form provided by the Company. The enrollment form will specify the amount of Contributions not to exceed the maximum amount specified by the Board. Each
Participant’s Contributions will be credited to a bookkeeping account for such Participant under the Plan and will be deposited with the general funds of the Company except where applicable law requires that Contributions be deposited with a
third party. If permitted in the Offering, a Participant may begin such Contributions with the first payroll occurring on or after the Offering Date (or, in the case of a payroll date that occurs after the end of the prior Offering but before the
Offering Date of the next new Offering, Contributions from such payroll will be included in the new Offering). If permitted in the Offering, a Participant may thereafter reduce (including to zero) or increase his or her Contributions. If required
under applicable law or if specifically provided in the Offering, in addition to or instead of making Contributions by payroll deductions, a Participant may make Contributions through the payment by cash or check prior to a Purchase Date.

 (b) During an Offering, a Participant may cease making Contributions and withdraw from the Offering by delivering to
the Company a withdrawal form provided by the Company. The Company may impose a deadline before a Purchase Date for withdrawing. Upon such withdrawal, such Participant’s Purchase Right in that Offering will immediately terminate and the Company
will distribute to such Participant all of his or her accumulated but unused Contributions. A Participant’s withdrawal from that Offering will have no effect upon his or her eligibility to participate in any other Offerings under the Plan, but
the Participant will be required to deliver a new enrollment form to participate in future Offerings. 
 (c) Unless
otherwise required by applicable law, Purchase Rights granted pursuant to any Offering under the Plan will terminate immediately if the Participant either (i) is no longer an Employee for any reason or for no reason or (ii) is otherwise no
longer eligible to participate. The Company will distribute to such individual all of his or her accumulated but unused Contributions. 

  
 6 

 (d) During a Participant’s lifetime, Purchase Rights will be exercisable only by
such Participant. Purchase Rights are not transferable by a Participant, except by will, by the laws of descent and distribution, or, if permitted by the Company, by a beneficiary designation as described in Section 10. 

(e) The Company has no obligation to pay interest on Contributions, unless otherwise required by applicable law. 

 

	8.	EXERCISE OF PURCHASE RIGHTS. 

(a) On each Purchase Date, each Participant’s accumulated Contributions will be applied to the purchase of shares of Common
Stock, up to the maximum number of shares of Common Stock permitted by the Plan and the applicable Offering, at the purchase price specified in the Offering. No fractional shares will be issued unless specifically provided for in the Offering.

 (b) If any amount of accumulated Contributions remains in a Participant’s account after the purchase of shares of
Common Stock on the final Purchase Date of an Offering and such remaining amount is less than the amount required to purchase one share of Common Stock, then such remaining amount will be held in such Participant’s account for the purchase of
shares of Common Stock under the next Offering under the Plan, unless such Participant withdraws from or is not eligible to participate in such Offering, in which case such amount will be distributed to such Participant after the final Purchase
Date, without interest (unless otherwise required by applicable law). If the amount of Contributions remaining in a Participant’s account after the purchase of shares of Common Stock on the final Purchase Date of an Offering is at least equal
to the amount required to purchase one whole share of Common Stock, then such remaining amount will not roll over to the next Offering and will instead be distributed in full to such Participant after the final Purchase Date, without interest
(unless otherwise required by applicable law). 
 (c) No Purchase Rights may be exercised to any extent unless the shares
of Common Stock to be issued upon such exercise under the Plan are covered by an effective registration statement pursuant to the Securities Act and the Plan is in material compliance with all applicable laws. If on a Purchase Date the shares of
Common Stock are not so registered or the Plan is not in such compliance, no Purchase Rights will be exercised on such Purchase Date, and the Purchase Date will be delayed until the shares of Common Stock are subject to such an effective
registration statement and the Plan is in material compliance, except that the Purchase Date will in no event be more than 27 months from the Offering Date. If, on the Purchase Date, as delayed to the maximum extent permissible, the shares of Common
Stock are not registered and the Plan is not in material compliance with all applicable laws, no Purchase Rights will be exercised and all accumulated but unused Contributions will be distributed to the Participants without interest. 

 

	9.	COVENANTS OF THE COMPANY. 

The Company will seek to obtain from each federal, state, foreign or other regulatory commission or agency having jurisdiction over the
Plan such authority as may be required to 

  
 7 

 
grant Purchase Rights and issue and sell shares of Common Stock thereunder. If, after commercially reasonable efforts, the Company is unable to obtain the authority that counsel for the Company
deems necessary for the grant of Purchase Rights or the lawful issuance and sale of Common Stock under the Plan, and at a commercially reasonable cost, the Company will be relieved from any liability for failure to grant Purchase Rights and/or to
issue and sell Common Stock upon exercise of such Purchase Rights. 
  

	10.	DESIGNATION OF BENEFICIARY. 

 (a) The Company may, but is not obligated to, permit a Participant to submit a form designating a beneficiary who will receive any shares of Common Stock and/or Contributions from the
Participant’s account under the Plan if the Participant dies before such shares and/or Contributions are delivered to the Participant. The Company may, but is not obligated to, permit the Participant to change such designation of beneficiary.
Any such designation and/or change must be on a form approved by the Company. 
 (b) If a Participant dies, and in the
absence of a valid beneficiary designation, the Company will deliver any shares of Common Stock and/or Contributions to the executor or administrator of the estate of the Participant. If no executor or administrator has been appointed (to the
knowledge of the Company), the Company, in its sole discretion, may deliver such shares of Common Stock and/or Contributions to the Participant’s spouse, dependents or relatives, or if no spouse, dependent or relative is known to the Company,
then to such other person as the Company may designate. 
  

	11.	ADJUSTMENTS UPON CHANGES IN COMMON STOCK; CORPORATE
TRANSACTIONS. 

 (a) On a Capitalization Adjustment, the Board will appropriately and
proportionately adjust: (i) the class(es) and maximum number of securities subject to the Plan pursuant to Section 3(a), (ii) the class(es) and maximum number of securities by which the share reserve is to increase automatically each
year pursuant to Section 3(a), (iii) the class(es) and number of securities subject to, and the purchase price applicable to outstanding Offerings and Purchase Rights, and (iv) the class(es) and number of securities that are the
subject of the purchase limits under each ongoing Offering. The Board will make these adjustments, and its determination will be final, binding and conclusive. 
 (b) On a Corporate Transaction, then: (i) any surviving corporation or acquiring corporation (or the surviving or acquiring corporation’s parent company) may assume or continue
outstanding Purchase Rights or may substitute similar rights (including a right to acquire the same consideration paid to the stockholders in the Corporate Transaction) for outstanding Purchase Rights, or (ii) if any surviving or acquiring
corporation (or its parent company) does not assume or continue such Purchase Rights or does not substitute similar rights for such Purchase Rights, then the Participants’ accumulated Contributions will be used to purchase shares of Common
Stock within ten business days prior to the Corporate Transaction under the outstanding Purchase Rights, and the Purchase Rights will terminate immediately after such purchase. 

  
 8 

	12.	AMENDMENT, TERMINATION OR SUSPENSION OF THE PLAN.

 (a) The Board may amend the Plan at any time in any respect the Board deems necessary or advisable.
However, except as provided in Section 11(a) relating to Capitalization Adjustments, stockholder approval will be required for any amendment of the Plan for which stockholder approval is required by applicable law or listing requirements,
including any amendment that either (i) materially increases the number of shares of Common Stock available for issuance under the Plan, (ii) materially expands the class of individuals eligible to become Participants and receive Purchase
Rights, (iii) materially increases the benefits accruing to Participants under the Plan or materially reduces the price at which shares of Common Stock may be purchased under the Plan, (iv) materially extends the term of the Plan, or
(v) expands the types of awards available for issuance under the Plan, but in each of (i) through (v) above only to the extent stockholder approval is required by applicable law or listing requirements. 

(b) The Board may suspend or terminate the Plan at any time. No Purchase Rights may be granted under the Plan while the Plan is
suspended or after it is terminated. 
 (c) Any benefits, privileges, entitlements and obligations under any outstanding
Purchase Rights granted before an amendment, suspension or termination of the Plan will not be materially impaired by any such amendment, suspension or termination except (i) with the consent of the person to whom such Purchase Rights were
granted, (ii) as necessary to comply with any laws, listing requirements, or governmental regulations (including, without limitation, the provisions of Section 423 of the Code and the regulations and other interpretive guidance issued
thereunder relating to Employee Stock Purchase Plans) including without limitation any such regulations or other guidance that may be issued or amended after the Effective Date, or (iii) as necessary to obtain or maintain favorable tax,
listing, or regulatory treatment. To be clear, the Board may amend outstanding Purchase Rights without a Participant’s consent if such amendment is necessary to ensure that the Purchase Right and/or the Plan complies with the requirements of
Section 423 of the Code. 
  

	13.	CODE SECTION 409A; TAX QUALIFICATION. 

(a) Purchase Rights granted under the 423 Component are intended to be exempt from the application of Section 409A of the Code
under Treasury Regulation Section 1.409A-1(b)(5)(ii). Purchase Rights granted under the Non-423 Component to U.S. taxpayers are intended to be exempt from the application of Section 409A of the Code under the short-term deferral exception
and any ambiguities shall be construed and interpreted in accordance with such intent. Subject to Section 13(b) hereof, Purchase Rights granted to U.S. taxpayers under the Non-423 Component shall be subject to such terms and conditions that
will permit such Purchase Rights to satisfy the requirements of the short-term deferral exception available under Section 409A of the Code, including the requirement that the shares subject to a Purchase Right be delivered within the short-term
deferral period. Subject to Section 13(b) hereof, in the case of a Participant who would otherwise be subject to Section 409A of the Code, to the extent the Board determines that a Purchase Right or the exercise, payment, settlement or
deferral thereof is subject to Section 409A of the Code, the Purchase Right shall be granted, exercised, paid, settled or deferred in a manner that will comply with Section 409A of the Code, including U.S. Department of Treasury
regulations and other interpretive guidance issued thereunder, including 

  
 9 

 
without limitation any such regulations or other guidance that may be issued after the adoption of the Plan. Notwithstanding the foregoing, the Company shall have no liability to a Participant or
any other party if the Purchase Right that is intended to be exempt from or compliant with Section 409A of the Code is not so exempt or compliant or for any action taken by the Board with respect thereto. 

(b) Although the Company may endeavor to (i) qualify a Purchase Right for favorable tax treatment under the laws of the
United States or jurisdictions outside of the United States or (ii) avoid adverse tax treatment (e.g., under Section 409A of the Code), the Company makes no representation to that effect and expressly disavows any covenant to maintain
favorable or avoid unfavorable tax treatment, notwithstanding anything to the contrary in this Plan, including Section 13(a) hereof. The Company shall be unconstrained in its corporate activities without regard to the potential negative tax
impact on Participants under the Plan. 
  

	14.	EFFECTIVE DATE OF PLAN. 

The Plan will become effective on the IPO Date. No Purchase Rights will be exercised unless and until the Plan has been approved by the
stockholders of the Company, which approval must be within 12 months before or after the date the Plan is adopted (or if required under Section 12(a) above, materially amended) by the Board. 

 

	15.	MISCELLANEOUS PROVISIONS. 

 (a) Proceeds from the sale of shares of Common Stock pursuant to Purchase Rights will constitute general funds of the Company. 

(b) A Participant will not be deemed to be the holder of, or to have any of the rights of a holder with respect to, shares of
Common Stock subject to Purchase Rights unless and until the Participant’s shares of Common Stock acquired upon exercise of Purchase Rights are recorded in the books of the Company (or its transfer agent). 

(c) The Plan and Offering do not constitute an employment contract. Nothing in the Plan or in the Offering will in any way alter
the at will nature of a Participant’s employment, if applicable, or be deemed to create in any way whatsoever any obligation on the part of any Participant to continue in the employ of the Company or a Related Corporation or an Affiliate, or on
the part of the Company or a Related Corporation or an Affiliate to continue the employment of a Participant. 
 (d) The
provisions of the Plan will be governed by the laws of the State of California without resort to that state’s conflicts of laws rules. 
 (e) If any particular provision of the Plan is found to be invalid or otherwise unenforceable, such provision shall not affect the other provisions of the Plan, but the Plan shall be construed in
all respects as if such invalid provision were omitted. 

  
 10 

	16.	DEFINITIONS. 

 As used in the Plan, the following definitions will apply to the capitalized terms indicated below: 
 (a) “423 Component” means the part of the Plan, which excludes the Non-423 Component, pursuant to which Purchase Rights that satisfy the requirements for Employee Stock
Purchase Plans may be granted to Eligible Employees. 
 (b) “Affiliate” means any branch or
representative office of a Related Corporation, as determined by the Board, whether now or hereafter existing. 
 (c)
“Board” means the Board of Directors of the Company. 
 (d) “Capital
Stock” means each and every class of common stock of the Company, regardless of the number of votes per share. 

(e) “Capitalization Adjustment” means any change that is made in, or other events that occur with respect
to, the Common Stock subject to the Plan or subject to any Purchase Right after the Effective Date without the receipt of consideration by the Company through merger, consolidation, reorganization, recapitalization, reincorporation, stock dividend,
dividend in property other than cash, large nonrecurring cash dividend, stock split, liquidating dividend, combination of shares, exchange of shares, change in corporate structure or other similar equity restructuring transaction, as that term is
used in Financial Accounting Standards Board Accounting Standards Codification Topic 718 (or any successor thereto). Notwithstanding the foregoing, the conversion of any convertible securities of the Company will not be treated as a Capitalization
Adjustment. 
 (f) “Code” means the U.S. Internal Revenue Code of 1986, as amended. 

(g) “Committee” means a committee of one or more members of the Board to whom authority has been delegated
by the Board. 
 (h) “Common Stock” means, as of the IPO Date, the Class A common stock of
the Company, having 1 vote per share. 
 (i) “Company” means Zynga Inc., a Delaware corporation.

 (j) “Contributions” means the payroll deductions and other additional payments specifically
provided for in the Offering that a Participant contributes to fund the exercise of a Purchase Right. A Participant may make additional payments into his or her account if specifically provided for in the Offering, and then only if the Participant
has not already had the maximum permitted amount withheld during the Offering through payroll deductions. 
 (k)
“Corporate Transaction” means the occurrence, in a single transaction or in a series of related transactions, of any one or more of the following events: 

  
 11 

 (i) the consummation of a sale or other disposition of all or substantially all, as
determined by the Board in its sole discretion, of the consolidated assets of the Company and its Subsidiaries; 
 (ii)
the consummation of a sale or other disposition of at least 50% of the outstanding securities of the Company; 
 (iii)
the consummation of a merger, consolidation or similar transaction following which the Company is not the surviving corporation; or 
 (iv) the consummation of a merger, consolidation or similar transaction following which the Company is the surviving corporation but the shares of Common Stock outstanding immediately preceding the
merger, consolidation or similar transaction are converted or exchanged by virtue of the merger, consolidation or similar transaction into other property, whether in the form of securities, cash or otherwise. 

(l) “Designated Non-423 Corporation” means any Related Corporation or Affiliate selected by the Board as
eligible to participate in the Non-423 Component. 
 (m) “Designated Company” means a
Designated Non-423 Corporation or Designated 423 Corporation. 
 (n) “Designated 423 Corporation”
means any Related Corporation selected by the Board as eligible to participate in the 423 Component. 
 (o)
“Director” means a member of the Board. 
 (p) “Eligible Employee”
means an Employee who meets the requirements set forth in the document(s) governing the Offering for eligibility to participate in the Offering, provided that such Employee also meets the requirements for eligibility to participate set forth in the
Plan. 
 (q) “Employee” means any person, including an Officer or Director, who is treated as an
employee in the records of the Company or a Related Corporation (including an Affiliate). However, service solely as a Director, or payment of a fee for such services, will not cause a Director to be considered an “Employee” for purposes
of the Plan. 
 (r) “Employee Stock Purchase Plan” means a plan that grants Purchase Rights
intended to be options issued under an “employee stock purchase plan,” as that term is defined in Section 423(b) of the Code. 
 (s) “Exchange Act” means the U.S. Securities Exchange Act of 1934, as amended. 
 (t) “Fair Market Value” means, as of any date, the value of the Common Stock determined as follows: 
 (i) If the Common Stock is listed on any established stock exchange or traded on any established market, the Fair Market Value of a share of Common Stock will be the closing sales
price for such stock as quoted on such exchange or market (or the exchange or 

  
 12 

 
market with the greatest volume of trading in the Common Stock) on the date of determination, as reported in such source as the Board deems reliable. Unless otherwise provided by
the Board, if there is no closing sales price for the Common Stock on the date of determination, then the Fair Market Value will be the closing sales price on the last preceding date for which such quotation exists. 

(ii) In the absence of such markets for the Common Stock, the Fair Market Value will be determined by the Board in good faith in
compliance with applicable laws. 
 (iii) Notwithstanding the foregoing, for any Offering that commences on the IPO Date,
the Fair Market Value of the shares of Common Stock on the Offering Date will be the price per share at which shares are first sold to the public in the Company’s initial public offering as specified in the final prospectus for that initial
public offering. 
 (u) “IPO Date” means the date of the underwriting agreement between the
Company and the underwriter(s) managing the initial public offering of the Common Stock, pursuant to which the Common Stock is priced for the initial public offering. 
 (v) “Non-423 Component” means the part of the Plan, which excludes the 423 Component, pursuant to which Purchase Rights that are not intended to satisfy the requirements for
Employee Stock Purchase Plans may be granted to Eligible Employees. 
 (w) “Offering” means the
grant to Eligible Employees of Purchase Rights, with the exercise of those Purchase Rights automatically occurring at the end of one or more Purchase Periods. The terms and conditions of an Offering will generally be set forth in the
“Offering Document” approved by the Board for that Offering. 
 (x) “Offering
Date” means a date selected by the Board for an Offering to commence. 
 (y)
“Officer” means a person who is an officer of the Company or a Related Corporation within the meaning of Section 16 of the Exchange Act and the rules and regulations promulgated thereunder. 

(z) “Participant” means an Eligible Employee who holds an outstanding Purchase Right. 

(aa) “Plan” means this Zynga Inc. 2011 Employee Stock Purchase Plan, including both the 423 and Non-423
Components, as amended from time to time. 
 (bb) “Purchase Date” means one or more dates during
an Offering selected by the Board on which Purchase Rights will be exercised and on which purchases of shares of Common Stock will be carried out in accordance with such Offering. 

(cc) “Purchase Period” means a period of time specified within an Offering, generally beginning on the
Offering Date or on the first Trading Day following a Purchase Date, and ending on a Purchase Date. An Offering may consist of one or more Purchase Periods. 

  
 13 

 (dd) “Purchase Right” means an option to purchase shares of
Common Stock granted pursuant to the Plan. 
 (ee) “Related Corporation” means any “parent
corporation” or “subsidiary corporation” of the Company whether now or subsequently established, as those terms are defined in Sections 424(e) and (f), respectively, of the Code. 

(ff) “Securities Act” means the U.S. Securities Act of 1933, as amended. 

(gg) “Trading Day” means any day on which the exchange(s) or market(s) on which shares of Common Stock are
listed, including but not limited to the NYSE, Nasdaq Global Select Market, the Nasdaq Global Market, the Nasdaq Capital Market or any successors thereto, is open for trading. 

  
 14EX-4.1

 Exhibit 4.1 
 Officers’ Certificate Pursuant to 
 Section 3.01 of the Indenture

 Pursuant to Section 3.01 of the Indenture dated as of January 17, 2006 (the “Indenture”), between
Johnson Controls, Inc. (the “Company”) and U.S. Bank National Association (as successor to JPMorgan Chase Bank, N.A.), as trustee (the “Trustee”), the undersigned on behalf of the Company and in their respective
capacities indicated, hereby certify that we have examined resolutions duly adopted at a meeting of the Board of Directors of the Company on January 24, 2007 and January 21, 2009 and the action of authorized officers of the Company, dated
November 29, 2011. Acting pursuant to such resolutions and action, the undersigned hereby establish three series of Debt Securities by means of this Officers’ Certificate, in accordance with the provisions of Section 3.01 of the
Indenture: 
 1. The title of the three new series of Debt Securities shall be: 2.600% Senior Notes due 2016 (the “Notes
due 2016”), 3.750% Senior Notes due 2021 (the “Notes due 2021”) and 5.250% Senior Notes due 2041 (the “Notes due 2041”, and collectively with the Notes due 2016 and the Notes due 2021, the
“Notes”). U.S. Bank National Association shall be the trustee with respect to the Notes. 
 2. The aggregate
principal amount of Notes due 2016 that may be authenticated and delivered under the Indenture (except for Notes due 2016 authenticated and delivered upon registration of transfer of, or in exchange for, or in lieu of, Notes due 2016 pursuant to
Article 3, the second paragraph of Section 4.03, or Section 11.04, of the Indenture) is initially $400,000,000; provided, however, that the Company shall have the right to reopen the Notes due 2016 and issue additional Debt Securities,
which shall be part of the same series as the Notes due 2016 initially issued (except for the issue date and, in some cases, the public offering price and the first interest payment date). 

3. The aggregate principal amount of Notes due 2021 that may be authenticated and delivered under the Indenture (except for Notes due
2021 authenticated and delivered upon registration of transfer of, or in exchange for, or in lieu of, Notes due 2021 pursuant to Article 3, the second paragraph of Section 4.03, or Section 11.04, of the Indenture) is initially
$450,000,000; provided, however, that the Company shall have the right to reopen the Notes due 2021 and issue additional Debt Securities, which shall be part of the same series as the Notes due 2021 initially issued (except for the issue date and,
in some cases, the public offering price and the first interest payment date). 
 4. The aggregate principal amount of Notes due
2041 that may be authenticated and delivered under the Indenture (except for Notes due 2041 authenticated and delivered upon registration of transfer of, or in exchange for, or in lieu of, Notes due 2041 pursuant to Article 3, the second paragraph
of Section 4.03, or Section 11.04, of the Indenture) is initially $250,000,000; provided, however, that the Company shall have the right to reopen the Notes due 2041 and issue additional Debt Securities, which shall be part of the same
series as the Notes due 2041 initially issued (except for the issue date and, in some cases, the public offering price and the first interest payment date). 

 5. Principal on the Notes due 2016 shall be payable on December 1, 2016; principal on
the Notes due 2021 shall be payable on December 1, 2021; and principal on the Notes due 2041 shall be payable on December 1, 2041. 
 6. The Notes due 2016 shall bear interest at a rate of 2.600% per annum, the Notes due 2021 shall bear interest at a rate of 3.750% per annum and the Notes due 2041 shall bear interest at a rate
of 5.250% per annum, which interest shall accrue from December 2, 2011 and shall be payable semiannually on June 1 and December 1, beginning June 1, 2012, to the persons in whose names the Notes, as applicable, are
registered at the close of business on the preceding May 15 and November 15, respectively. Interest on the Notes (as defined below) will be computed on the basis of a 360-day year of twelve 30-day months. 

7. The principal of and interest on each series of Notes shall initially be payable at the offices of U.S. Bank National Association (the
“Paying Agent”). 
 8. The Company may redeem the Notes due 2016, in whole or in part, at any time, the Notes
due 2021, in whole or in part, at any time prior to September 1, 2021 (three months prior to the maturity date of the Notes due 2021) and the Notes due 2041, in whole or in part, at any time prior to June 1, 2041 (six months prior to the
maturity date of the Notes due 2041). The Redemption Price for the Notes to be redeemed on any Redemption Date will be equal to the greater of: 
 (a) 100% of the principal amount of the Notes being redeemed on that Redemption Date, and 
 (b) the sum of the present values of the remaining scheduled payments of principal and interest on the Notes to be redeemed on that Redemption Date (not including any portion of such payments of interest
accrued to the Redemption Date), discounted to the date of redemption on a semi-annual basis (assuming a 360-day year consisting of twelve 30-day months) at the applicable Treasury Rate (as defined below), plus 25 basis points, in the case of the
Notes due 2016, 25 basis points, in the case of the Notes due 2021, or 35 basis points, in the case of the Notes due 2041, 
 plus, in each
case, accrued and unpaid interest on the Notes of such series being redeemed to the Redemption Date. 
 In addition, at any time
on or after September 1, 2021 (three months prior to the maturity date of the Notes due 2021), with respect to the Notes due 2021, or June 1, 2041 (six months prior to the maturity date of the Notes due 2041), with respect to the Notes due
2041, the Company may redeem some or all of the applicable series of Notes at its option, at a Redemption Price equal to 100% of the principal amount of the applicable Notes being redeemed, plus accrued and unpaid interest on the Notes of such
series being redeemed to the Redemption Date. 
 Notwithstanding the foregoing, installments of interest on the Notes that are
due and payable on interest payment dates falling on or prior to a Redemption Date will be payable on the interest payment date to the registered holders as of the close of business on the relevant record date according to the Notes and the
Indenture. 

 As used herein: 
 “Comparable Treasury Issue” means the U.S. Treasury security selected by an Independent Investment Banker as having a maturity comparable to the remaining term (the “Remaining
Life”) of the Notes to be redeemed that would be utilized, at the time of selection and in accordance with customary financial practice, in pricing new issues of corporate debt securities of comparable maturity to the remaining term of such
Notes. 
 “Comparable Treasury Price” means, with respect to any Redemption Date, (1) the average of five
Reference Treasury Dealer Quotations for such Redemption Date, after excluding the highest and lowest Reference Treasury Dealer Quotations, or (2) if the Independent Investment Banker obtains fewer than five such Reference Treasury Dealer
Quotations, the average of all such quotations. 
 “Independent Investment Banker” means one of the Reference
Treasury Dealers appointed by the Company. 
 “Reference Treasury Dealer” means (1) each of Barclays
Capital Inc., Citigroup Global Markets Inc. and J.P. Morgan Securities LLC (or their respective affiliates that are primary U.S. Government securities dealers); provided, however, that if any of the foregoing shall cease to be a primary U.S.
Government securities dealer in New York City (a “Primary Treasury Dealer”), the Company will substitute therefor another Primary Treasury Dealer, (2) one Primary Treasury Dealer selected by Banca IMI S.p.A. or its successor and
(3) one Primary Treasury Dealer selected by Credit Agricole Securities (USA) Inc. or its successor. 
 “Reference
Treasury Dealer Quotations” means, with respect to each Reference Treasury Dealer and any Redemption Date, the average, as determined by the Independent Investment Banker, of the bid and asked prices for the Comparable Treasury Issue
(expressed in each case as a percentage of its principal amount) quoted in writing to the Independent Investment Banker at 5:00 p.m., New York City time, on the third business day preceding such Redemption Date. 

“Treasury Rate” means, with respect to any Redemption Date, the rate per annum equal to the semi-annual equivalent yield
to maturity of the Comparable Treasury Issue, calculated using a price for the Comparable Treasury Issue (expressed as a percentage of its principal amount) equal to the Comparable Treasury Price for such Redemption Date. The Treasury Rate will be
calculated on the third business day preceding the Redemption Date. 
 Holders of Notes of any series to be redeemed will
receive notice thereof by first-class mail at least 30 and not more than 60 days prior to the date fixed for redemption. If fewer than all of the Notes of a series are to be redeemed, the Trustee will select, not more than 60 days prior to the
Redemption Date, the particular Notes of such series or portions thereof for redemption from the outstanding Notes of such series not previously called by such method as the Trustee deems fair and appropriate. 

9. Upon the occurrence of a Change of Control Triggering Event (as defined below) with respect to a series of Notes, unless the Company
has exercised its right to redeem the Notes by giving irrevocable notice to the Trustee in accordance with the Indenture, each holder of 

 
Notes will have the right to require the Company to purchase all or a portion of such holder’s Notes pursuant to the offer described below (the “Change of Control Offer”),
at a purchase price equal to 101% of the principal amount thereof plus accrued and unpaid interest, if any, up to but not including the date of purchase (the “Change of Control Payment”), subject to the rights of holders of Notes on
the relevant record date to receive interest due and owing on the relevant interest payment date. 
 Within 30 days following
the date upon which the Change of Control Triggering Event occurs or, at the Company’s option, prior to any Change of Control but after the public announcement of the pending Change of Control, the Company will be required to send, by first
class mail, a notice to each holder of Notes, with a copy to the Trustee, which notice will govern the terms of the Change of Control Offer. Such notice will state, among other things, the purchase date, which must be no earlier than 30 days nor
later than 60 days from the date such notice is mailed, other than as may be required by law (the “Change of Control Payment Date”). The notice, if mailed prior to the date of consummation of the Change of Control, will state that
the Change of Control Offer is conditioned on the Change of Control being consummated on or prior to the Change of Control Payment Date. 
 On the Change of Control Payment Date, the Company will, to the extent lawful: 
  

	 	(i)	accept or cause a third party to accept for payment all Notes or portions of Notes properly tendered pursuant to the Change of Control Offer; 

 

	 	(ii)	deposit or cause a third party to deposit with the paying agent an amount equal to the Change of Control Payment in respect of all Notes or portions of Notes properly
tendered; and 

  

	 	(iii)	deliver or cause to be delivered to the Trustee the Notes properly accepted together with an Officers’ Certificate stating the aggregate principal amount of Notes
or portions of Notes being repurchased. 

 The Company will not be required to make a Change of Control Offer with
respect to the Notes if a third party makes such an offer in the manner, at the times and otherwise in compliance with the requirements for such an offer made by the Company and such third party purchases all the Notes properly tendered and not
withdrawn under its offer. In addition, the Company will not repurchase any Notes if there has occurred and is continuing on the Change of Control Payment Date an event of default under the Indenture, other than a default in the payment of the
Change of Control Payment on the Change of Control Payment Date. 
 The Company must comply in all material respects with the
requirements of Rule 14e-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and any other securities laws and regulations thereunder to the extent those laws and regulations are applicable in connection
with the repurchase of the Notes as a result of a Change of Control Triggering Event. To the extent that the provisions of any such securities laws or regulations conflict with the Change of Control Offer provisions of the Notes, the Company will be
required to comply with those securities laws and regulations and will not be deemed to have breached the Company’s obligations under the Change of Control Offer provisions of the Notes by virtue of any such conflict. 

 As used in this Section 9: 

“Change of Control” means the occurrence of any of the following after the date of issuance of the Notes:

 (1) the direct or indirect sale, lease, transfer, conveyance or other disposition (other than by way of merger
or consolidation), in one or a series of related transactions, of all or substantially all of the Company assets and the assets of the Company’s Subsidiaries taken as a whole to any “person” or “group” (as those terms are
used in Section 13(d)(3) of the Exchange Act) other than to the Company or one of the Company’s Subsidiaries; 
 (2) the consummation of any transaction (including, without limitation, any merger or consolidation) the result of which is that any “person” or “group” (as those terms are used in
Section 13(d)(3) of the Exchange Act) (other than the Company or one of the Company’s Subsidiaries) becomes the “beneficial owner” (as defined in Rules 13d-3 and 13d-5 under the Exchange Act), directly or indirectly, of the
Company’s Voting Stock representing a majority of the voting power of the Company’s outstanding Voting Stock; 
 (3) the Company consolidate with, or merge with or into, any Person, or any Person consolidates with, or merges with or into, the Company, in any such event pursuant to a transaction in which any of the
Company’s outstanding Voting Stock or Voting Stock of such other Person is converted into or exchanged for cash, securities or other property, other than any such transaction where the Company’s Voting Stock outstanding immediately prior
to such transaction constitutes, or is converted into or exchanged for, Voting Stock representing a majority of the voting power of the Voting Stock of the surviving Person immediately after giving effect to such transaction; 

(4) the first day on which the majority of the members of the board of directors of the Company cease to be Continuing
Directors; or 
 (5) the adoption by the Company’s shareholders of a plan relating to the Company’s
liquidation or dissolution. 
 Notwithstanding the foregoing, a transaction will not be deemed to involve a change of control
under clause (2) above if (1) the Company becomes a direct or indirect wholly-owned Subsidiary of a holding company and (2)(A) the direct or indirect holders of the Voting Stock of such holding company immediately following that
transaction are substantially the same as the holders of the Company’s Voting Stock immediately prior to that transaction or (B) immediately following that transaction no person (as that term is used in Section 13(d)(3) of the
Exchange Act) (other than a holding company satisfying the requirements of this sentence) is the beneficial owner, directly or indirectly, of more than 50% of the Voting Stock of such holding company. 

“Change of Control Triggering Event” means, with respect to the applicable series of Notes, the Notes cease to be
rated Investment Grade by each of the Rating Agencies on any date during the period (the “Trigger Period”) commencing 60 days prior to the first public announcement by the Company of any Change of Control (or pending Change of
Control) and 

 
ending 60 days following consummation of such Change of Control (which Trigger Period will be extended following consummation of a Change of Control for so long as any of the Rating Agencies has
publicly announced that it is considering a possible ratings change). However, a Change of Control Triggering Event otherwise arising by virtue of a particular reduction in rating shall not be deemed to have occurred in respect of a particular
Change of Control (and thus shall not be deemed a Change of Control Triggering Event for purposes of the definition of Change of Control Repurchase Event) if the Rating Agencies making the reduction in rating to which this definition would otherwise
apply do not announce or publicly confirm or inform the Trustee in writing at the Company’s request that the reduction was the result, in whole or in part, of any event or circumstance comprised of or arising as a result of, or in respect of,
the applicable Change of Control (whether or not the applicable Change of Control shall have occurred at the time of the Change in Control Triggering Event). If a Rating Agency is not providing a rating for such Notes at the commencement of any
Trigger Period, the Notes will be deemed to have ceased to be rated Investment Grade by such Rating Agency during that Trigger Period. 
 Notwithstanding the foregoing, no Change of Control Triggering Event will be deemed to have occurred in connection with any particular Change of Control unless and until such Change of Control has
actually been consummated. 
 “Continuing Director” means, as of any date of determination, any member
of the Company’s board of directors who: 
 (1) was a member of the Company’s board of directors on the
date of the issuance of the Notes; or 
 (2) was nominated for election or elected or appointed to the
Company’s board of directors with the approval of a majority of the Continuing Directors who were members of the Company’s board of directors at the time of such nomination, election or appointment (either by a specific vote or by approval
of the Company’s proxy statement in which such member was named as a nominee for election as a director, without objection to such nomination). 
 “Investment Grade” means a rating of Baa3 or better by Moody’s (or its equivalent under any successor rating category of Moody’s) and a rating of BBB- or better by
S&P (or its equivalent under any successor rating category of S&P), and the equivalent investment grade credit rating from any replacement rating agency or rating agencies selected by the Company under the circumstances permitting the
Company to select a replacement rating agency and in the manner for selecting a replacement rating agency, in each case as set forth in the definition of “Rating Agency.” 

“Moody’s” means Moody’s Investors Service, Inc., a subsidiary of Moody’s Corporation, and its
successors. 
 “Person” means any individual, corporation, partnership, limited liability company,
business trust, association, joint-stock company, joint venture, trust, incorporated or unincorporated organization or government or any agency or political subdivision thereof. 

 “Rating Agency” means each of Moody’s and S&P;
provided, that if any of Moody’s or S&P ceases to provide rating services to issuers or investors, we may appoint another “nationally recognized statistical rating organization” as defined under Section 3(a)(62) of the
Exchange Act as a replacement for such Rating Agency; provided, that the Company shall give notice of such appointment to the Trustee. 
 “S&P” means Standard & Poor’s Ratings Services, a division of The McGraw-Hill Companies, Inc., and its successors. 

“Voting Stock” of any specified Person as of any date means the capital stock of such Person that is at the time
entitled to vote generally in the election of the board of directors of such Person. 
 10. The Notes shall not be entitled to
any sinking fund. 
 11. The Notes shall be issuable in United States dollars. 

12. Section 13.02 of the Indenture shall apply to the Notes. 

13. Payments of principal of and interest on the Notes shall be payable in United States dollars. 

14. The Notes shall be issued in the form of fully registered Global Debt Securities in the forms attached hereto as Exhibit A,
Exhibit B and Exhibit C which will be deposited with the Trustee as custodian for the Depository Trust Company (the “Depositary”) and registered in the name of “Cede & Co.,” as the nominee of the
Depositary. Principal of and interest payments on the Notes of each series will be made to the Depositary or its nominee. If at any time the Depositary notifies the Company that it is unwilling or unable to continue as Depositary for the Notes or if
at any time the Depositary for the Notes shall no longer be eligible or in good standing under the Exchange Act, or other applicable statute or regulation, the Company shall appoint a successor Depositary with respect to the Notes. If a successor
Depositary for the Notes is not appointed by the Company within 90 days after the Company receives notice or becomes aware of such ineligibility, the Company will issue Notes in definitive form in exchange for the Global Debt Security representing
Notes in an aggregate principal amount equal to the principal amount of the Notes represented by such Global Debt Security in exchange for the Notes represented by such Global Debt Security. 

15. The Notes are issuable in registered form without coupons in denominations of U.S.$2,000 and any integral multiples of U.S.$1,000 in
excess thereof. As provided in the Indenture and subject to certain limitations therein set forth, the Notes are exchangeable for a like aggregate principal amount of Notes that are of other authorized denominations. 

Furthermore, we hereby approve the forms of and authorize the execution and delivery of the Notes. 

Capitalized terms used herein which are defined in the Indenture are used herein as so defined. 

 [Signature Page to Follow] 

 Dated: December 2, 2011 

 

			
	JOHNSON CONTROLS, INC.
		
	By:	 	/s/ R. Bruce McDonald
	Name:	 	R. Bruce McDonald
	Title:	 	Executive Vice President and Chief Financial Officer

 
			
		
	By:	 	/s/ Jerome D. Okarma
	Name:	 	Jerome D. Okarma
	Title:	 	Vice President, Secretary and General Counsel

 Signature page to Officers’ Certificate Pursuant to Section 3.01 of the Indenture

 EXHIBIT A 
 FORM OF NOTE 
 Unless this certificate is presented by an authorized
representative of the Depository Trust Company, a New York Corporation (the “Depositary”), to the Issuer or its agent for registration of transfer, exchange, or payment, and any certificate issued is registered in the name of
Cede & Co. or in such other name as is requested by an authorized representative of the Depositary (and any payment is made to Cede & Co. or to such other entity as is requested by an authorized representative of the Depositary),
ANY TRANSFER, PLEDGE, OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL inasmuch as the registered owner hereof Cede & Co., has an interest herein. 

 

					
	REGISTERED	  	 	REGISTERED	  

 JOHNSON CONTROLS, INC. 
 2.600% SENIOR NOTES DUE 2016 
 CUSIP: 478366 AZ0 

ISIN: US478366AZ05 
  

					
	 No. [     ]
	  	US$	[     	] 

 JOHNSON CONTROLS, INC., a corporation duly organized and existing under the laws of the State of
Wisconsin (the “Company,” which term includes any successor corporation under the Indenture hereinafter referred to), for value received, hereby promises to pay to [    ], or registered assignees, the principal sum set
forth in the Schedule of Transfers and Exchanges in Note attached hereto, which amount shall not exceed Four Hundred Million and 00/100 Dollars ($400,000,000) on December 1, 2016, and to pay interest thereon from December 2, 2011, or from
the most recent Interest Payment Date to which interest has been paid or duly provided for, semiannually on June 1 and December 1 of each year, commencing June 1, 2012, at the rate of 2.600% per annum, until the principal hereof
becomes due and payable, and at such rate on any overdue principal and (to the extent that the payment of such interest shall be legally enforceable) on any overdue installment of interest. The interest so payable, and punctually paid or duly
provided for, on any Interest Payment Date will, as provided in such Indenture, be paid to the Person in whose name this 2.600% Note Due 2016 (this “Note,” and all of the Notes collectively referred to herein as the “Notes”) (or
one or more Predecessor Debt Securities) is registered at the close of business on the Regular Record Date for such interest, which shall be the May 15 or November 15 (whether or not a Business Day), as the case may be, next preceding such
Interest Payment Date; provided, however, that interest payable on the Interest Payment Date occurring at maturity will be paid to the person to whom principal shall be payable. Any such interest not punctually paid or duly provided for on any
Interest Payment Date shall forthwith cease to be payable to the registered Holder on such Regular Record Date by virtue of his having been such Holder, and may either be paid to the Person in whose name this Note (or one or more Predecessor Debt
Securities) is registered at the close of business on a Special 

  
 A-1

 
Record Date for the payment of such Defaulted Interest to be fixed by the Trustee, notice whereof shall be given to Holders of Notes not more than 15 days and not less than 10 days prior to such
Special Record Date, or be paid at any time in any other lawful manner not inconsistent with the requirements of any securities exchange on which the Notes may be listed, and upon such notice as may be required by such exchange, all as more fully
provided in said Indenture. 
 This is one of the Debt Securities of the series designated herein issued under the
within-mentioned Indenture. 
 Dated: December 2, 2011 
  

			
	U.S. Bank National Association, As Trustee
		
	By:	 	 
		 	Authorized Officer

  
 A-2

 Payments of interest will be made by wire transfer of immediately available funds. Principal
and any premium and interest payable at Maturity will be paid in immediately available funds upon surrender of such Note at the office of a Paying Agent in The City of New York, New York or at such other office or agency as the Company may
designate. 
 Unless the certificate of authentication herein has been duly executed by the Trustee referred to herein by manual
signature, this Note shall not be entitled to any benefit under the Indenture or be valid or obligatory for any purpose. 
 This
Note is one of a duly authorized issue of securities of the Company (the “Debt Securities”), issued or to be issued in one or more series under an indenture, dated as of January 17, 2006 (the “Base Indenture”), between the
Company and U.S. Bank National Association (the “Trustee,” which term includes any successor Trustee under the Base Indenture) to which Base Indenture, together with all indentures supplemental to the Base Indenture and the Officers’
Certificates under Section 3.01 of the Base Indenture setting forth the form and terms of the Notes (the Base Indenture as so supplemented, “the Indenture”), reference is hereby made for a statement of the respective rights,
limitations of rights, duties and immunities thereunder of the Company, the Trustee and the Holders of the Notes and of the terms upon which the Notes are, and are to be, authenticated and delivered. This Note is one of the series designated on the
face hereof limited in aggregate principal amount to $400,000,000, except that the Company may, without the consent of the Holders, “reopen” the series and issue more notes that have the same ranking, interest rate, maturity date and other
terms as this Note. 
 All or a portion of the Notes may be redeemed by the Company at any time or from time to time. The
Redemption Price for the Notes to be redeemed on any Redemption Date will be equal to the greater of (i) 100% of the principal amount of the Notes being redeemed on the Redemption Date and (ii) the sum of the present values of the
remaining scheduled payments of principal and interest on the Notes being redeemed on that Redemption Date (not including any portion of any payments of interest accrued to the Redemption Date), discounted to the Redemption Date on a semi-annual
basis (assuming a 360-day year consisting of twelve 30-day months) at the Treasury Rate (as defined below), plus 25 basis points, plus in either of case (i) or (ii) above, accrued and unpaid interest on the Notes being redeemed to the
Redemption Date. Holders of Notes to be redeemed will receive notice thereof by first-class mail at least 30 and not more than 60 days prior to the Redemption Date. If fewer than all of the Notes are to be redeemed, the Trustee will select, not more
than 60 days prior to the Redemption Date, the particular Notes or portions thereof for redemption from the outstanding not previously called by such method as the Trustee deems fair and appropriate. 

For the purposes of determining the Redemption Price, “Treasury Rate” means, with respect to any Redemption Date, the rate per
annum equal to the semi-annual equivalent yield to maturity of the Comparable Treasury Issue, calculated using a price for the Comparable Treasury Issue (expressed as a percentage of its principal amount) equal to the Comparable Treasury Price for
such Redemption Date. The Treasury Rate will be calculated on the third business day preceding the Redemption Date. “Comparable Treasury Issue” means the U.S. Treasury security selected by an Independent Investment Banker as having a
maturity comparable to the remaining term of the Notes to be redeemed that would be utilized, at the time of selection and in accordance with customary financial practice, in pricing new issues of Debt Securities of

  
 A-3

 
comparable maturity to the remaining term of such Notes. “Independent Investment Banker” means one of the Reference Treasury Dealers appointed by the Company. “Comparable Treasury
Price” means, with respect to any Redemption Date, (1) the average of five Reference Treasury Dealer Quotations for such Redemption Date, after excluding the highest and lowest Reference Treasury Dealer Quotations, or (2) if the
Independent Investment Banker obtains fewer than five such Reference Treasury Dealer Quotations, the average of all such quotations. “Reference Treasury Dealer” means (1) each of Barclays Capital Inc., Citigroup Global Markets Inc.
and J.P. Morgan Securities LLC (or their respective affiliates that are primary U.S. Government securities dealers); provided, however, that if any of the foregoing shall cease to be a primary U.S. Government securities dealer in New York City (a
“Primary Treasury Dealer”), the Company will substitute therefor another Primary Treasury Dealer, (2) one Primary Treasury Dealer selected by Banca IMI S.p.A. or its successor and (3) one Primary Treasury Dealer selected by
Credit Agricole Securities (USA) Inc. or its successor. “Reference Treasury Dealer Quotations” means, with respect to each Reference Treasury Dealer and any Redemption Date, the average, as determined by the Independent Investment Banker,
of the bid and asked prices for the Comparable Treasury Issue (expressed in each case as a percentage of its principal amount) quoted in writing to the Independent Investment Banker at 5:00 p.m., New York City time, on the third business day
preceding the Redemption Date. 
 The Company shall have no obligation to redeem or purchase the Notes pursuant to any sinking
fund or analogous provision. 
 Upon the occurrence of a Change of Control Triggering Event with respect to the Notes, unless
the Company has exercised its right to redeem the Notes, each Holder of Notes will have the right to require the Company to purchase all or a portion of such Holder’s Notes pursuant to a Change of Control Offer, at a purchase price equal to
101% of the principal amount thereof plus accrued and unpaid interest, if any, up to but not including the date of purchase, subject to the rights of Holders of Notes on the relevant record date to receive interest due and owing on the relevant
Interest Payment Date. The Change of Control Offer will be made in accordance with the terms specified in the Indenture. 
 With
the consent of the Holders of greater than 50% in aggregate principal amount of the Outstanding Debt Securities of each series affected by such supplemental indenture, the Company and the Trustee may enter into an indenture or indentures
supplemental to the Indenture for the purpose of adding any provisions to or changing the provisions of the Indenture or any supplement thereto or of modifying in any manner the rights of the Holders of the Debt Securities of each series under the
Indenture; provided, however, that no such supplemental indenture shall (a) extend the time or terms of payment of the principal at maturity of, or the interest on, any such series of Debt Securities, or reduce principal or premium or the rate
of interest, without the consent of the Holder thereof, or (b) without the consent of all of the Holders of any series of Debt Securities then outstanding, reduce the percentage of Debt Securities of any such series, the Holders of which are
required to consent (i) to any such supplemental indenture, (ii) to rescind and annul a declaration that the Debt Securities of any series are due and payable as a result of the occurrence of an Event of Default, (iii) to waive any
past Event of Default under the Indenture and its consequences and (iv) to waive compliance with certain other provisions contained in the Indenture. 

  
 A-4

 The Company and the Trustee may enter into an indenture or indentures supplemental to the
Indenture without the consent of the Holders for limited purposes specified in the Indenture. 
 The Holders of greater than 50%
in aggregate principal amount of the Outstanding Notes may on behalf of the Holders of all the Notes waive any past default or Event of Default under the Indenture and its consequences except a default in the payment of principal of or premium, if
any, or interest on the Notes. 
 Holders of Notes may not enforce their rights pursuant to the Indenture or the Notes except as
provided in the Indenture. No reference herein to the Indenture and no provision of this Note or of the Indenture shall alter or impair the obligation of the Company, which is absolute and unconditional, to pay the principal of (and premium, if any)
and interest on this Note at the times, place and rate, and in the coin or currency, herein prescribed. 
 The Notes are
issuable only in registered form without coupons in denominations of U.S.$2,000 and any integral multiples of U.S.$1,000 in excess thereof. As provided in the Indenture and subject to certain limitations therein set forth, Notes are exchangeable for
a like aggregate principal amount of Notes that are of other authorized denominations. 
 Notes to be exchanged shall be
surrendered at any office or agency maintained by the Company for such purpose, and the Company shall execute and the Trustee shall authenticate and deliver in exchange therefor the Notes which the Holder making the exchange shall be entitled to
receive. Upon due presentment for registration of transfer of any Note at any such office or agency, the Company shall execute and register and the Trustee shall authenticate and deliver in the name of the transferee or transferees a new Note for an
equal aggregate amount. Registration or registration of transfer of any Note by the Debt Security Registrar (initially U.S. Bank National Association) in the registry books maintained by such Debt Security Registrar in The City of New York, New
York, and delivery of such Note, duly authenticated, shall be deemed to complete the registration or registration of transfer of such Note. 
 No service charge shall be made for any exchange or registration of transfer, but the Company or the Trustee may require payment of a sum sufficient to cover any tax or other governmental charge payable
in connection therewith. Prior to due presentment of a Note for registration of transfer, the Company, the Trustee and any agent of the Company or the Trustee may treat the person in whose name a Note is registered as the owner for all purposes
whether or not such Note be overdue and neither the Company, the Trustee nor any such agent shall be affected by notice to the contrary. 
 Certain of the Company’s obligations under the Indenture with respect to the Notes may be terminated if the Company irrevocably deposits with the Trustee money or eligible instruments sufficient to
pay and discharge the entire indebtedness on all of the Notes, as described in the Indenture. 
 This Note is in the form of a
Global Security as provided in the Indenture. If at any time the Depositary notifies the Company that it is unwilling or unable to continue as Depositary for this Note or if at any time the Depositary for the Notes shall no longer be eligible or in
good standing under the Exchange Act, or other applicable statute or regulation, the Company shall 

  
 A-5

 
appoint a successor Depositary with respect to this Note. If a successor Depositary for this Note is not appointed by the Company within 90 days after the Company receives notice or becomes aware
of such ineligibility, the Company will issue Notes in definitive form in exchange for the Global Security representing Notes in an aggregate principal amount equal to the principal amount of this Note in exchange for this Note. 

No recourse under or upon any obligation, covenant or agreement of the Indenture, any supplemental indenture, or of any Note, or for any
claim based hereon, or otherwise in respect thereof shall be had against any incorporator, stockholder, or director, as such, past, present or future, of the Company or any Subsidiary or of any predecessor or successor corporation, either directly
or through the Company, whether by virtue of any constitution, statute or rule of law, or by the enforcement of any assessment or penalty or otherwise, all such liabilities being, by the acceptance hereof and as part of the consideration for the
issue hereof, expressly waived and released. 
 The Notes are subject to defeasance at the option of the Company as provided in
the Indenture. 
 All terms used in this Note which are defined in the Indenture shall have the meanings assigned to them in the
Indenture. 

  
 A-6

 IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed under its
corporate seal. 
  

									
	Dated: December 2, 2011	 		 	JOHNSON CONTROLS, INC.
					
		 		 		 	By:	 	 
		 		 		 	Name:	 	R. Bruce McDonald
		 		 		 	Title:	 	Executive Vice President and Chief Financial Officer
	 [SEAL]
	 		 		 		 	
		 		 	Attest:
					
		 		 		 	By:	 	 
		 		 		 	Name:	 	Jerome D. Okarma
		 		 		 	Title:	 	Vice President, Secretary and General Counsel

  
 A-7

   
 ABBREVIATIONS 
 The following abbreviations, when used in the inscription
on the face of this instrument, shall be construed as though they were written out in full according to applicable laws or regulations: 
 TEN COM - as tenants in common 
 TEN ENT - as tenants by the entireties 

JT TEN - as joint tenants with right of survivorship and not as tenants in common 

UNIF GIFT MIN ACT - __________Custodian________ 
 (Cust)              (Minor) 
 Under Uniform Gifts to Minors Act 
 _______________________ 

(State) 
 Additional
abbreviations may also be used though not in the above list. 
  

 
 FOR VALUE
RECEIVED, the undersigned hereby sell(s), assign(s) and transfer(s) unto 
 PLEASE INSERT SOCIAL SECURITY OR 

OTHER IDENTIFYING NUMBER OF ASSIGNEE 
  

			
	 	  	 

 PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE 

the within Security and all rights thereunder, hereby irrevocably constituting and appointing
                             attorney to transfer said Security on the books of the Company, with full
power of substitution in the premises. 
  

			
	Dated:	 	
		
		 	 
		 	Signature

 NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE WITHIN INSTRUMENT
IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER. 

  
 A-8

 Schedule I 
 SCHEDULE OF TRANSFERS AND EXCHANGES 
 JOHNSON CONTROLS, INC.

 2.600% Senior Notes due 2016 
 The initial principal amount of this Global Debt Security is [            ] Dollars
($[            ]). The following increases or decreases in the principal amount of this Global Debt Security have been made: 

 

																			
	Date of Exchange	 	 	Amount of Decrease in
Principal Amount of
this Global Debt
Security	 	 	Amount of Increase in
Principal amount of
this Global Debt
Security	 	 	Principal Amount of
Global Debt Security
following such
Decrease or Increase	 	 	Signature of
Authorized
Signature of trustee or
Custodian	 
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  

  
 A-9

 EXHIBIT B 
 FORM OF NOTE 
 Unless this certificate is presented by an authorized
representative of the Depository Trust Company, a New York Corporation (the “Depositary”), to the Issuer or its agent for registration of transfer, exchange, or payment, and any certificate issued is registered in the name of
Cede & Co. or in such other name as is requested by an authorized representative of the Depositary (and any payment is made to Cede & Co. or to such other entity as is requested by an authorized representative of the Depositary),
ANY TRANSFER, PLEDGE, OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL inasmuch as the registered owner hereof Cede & Co., has an interest herein. 

 

			
	REGISTERED	  	REGISTERED

 JOHNSON CONTROLS, INC. 
 3.750% SENIOR NOTES DUE 2021 
 CUSIP: 478366 BA4 

ISIN: US478366BA45 
  

			
	No. [    ]	  	US$[    ]

 JOHNSON CONTROLS, INC., a corporation duly organized and existing under the laws of the State of
Wisconsin (the “Company,” which term includes any successor corporation under the Indenture hereinafter referred to), for value received, hereby promises to pay to [        ], or registered
assignees, the principal sum set forth in the Schedule of Transfers and Exchanges in Note attached hereto, which amount shall not exceed Four Hundred Fifty Million and 00/100 Dollars ($450,000,000) on December 1, 2021, and to pay interest
thereon from December 2, 2011, or from the most recent Interest Payment Date to which interest has been paid or duly provided for, semiannually on June 1 and December 1 of each year, commencing June 1, 2012, at the rate of
3.750% per annum, until the principal hereof becomes due and payable, and at such rate on any overdue principal and (to the extent that the payment of such interest shall be legally enforceable) on any overdue installment of interest. The
interest so payable, and punctually paid or duly provided for, on any Interest Payment Date will, as provided in such Indenture, be paid to the Person in whose name this 3.750% Note Due 2021 (this “Note,” and all of the Notes collectively
referred to herein as the “Notes”) (or one or more Predecessor Debt Securities) is registered at the close of business on the Regular Record Date for such interest, which shall be the May 15 or November 15 (whether or not a
Business Day), as the case may be, next preceding such Interest Payment Date; provided, however, that interest payable on the Interest Payment Date occurring at maturity will be paid to the person to whom principal shall be payable. Any such
interest not punctually paid or duly provided for on any Interest Payment Date shall forthwith cease to be payable to the registered Holder on such Regular Record Date by virtue of his having been such Holder, and may either be paid to the Person in
whose name this Note (or one or more Predecessor Debt Securities) is registered at the close of business on a Special Record Date for the payment of such Defaulted Interest to be fixed by the Trustee, notice

  
 B-1

 
whereof shall be given to Holders of Notes not more than 15 days and not less than 10 days prior to such Special Record Date, or be paid at any time in any other lawful manner not inconsistent
with the requirements of any securities exchange on which the Notes may be listed, and upon such notice as may be required by such exchange, all as more fully provided in said Indenture. 

This is one of the Debt Securities of the series designated herein issued under the within-mentioned Indenture. 

Dated: December 2, 2011 
  

			
	U.S. Bank National Association, As Trustee
		
	By:	 	 
		 	Authorized Officer

  
 B-2

 Payments of interest will be made by wire transfer of immediately available funds. Principal
and any premium and interest payable at Maturity will be paid in immediately available funds upon surrender of such Note at the office of a Paying Agent in The City of New York, New York or at such other office or agency as the Company may
designate. 
 Unless the certificate of authentication herein has been duly executed by the Trustee referred to herein by manual
signature, this Note shall not be entitled to any benefit under the Indenture or be valid or obligatory for any purpose. 
 This
Note is one of a duly authorized issue of securities of the Company (the “Debt Securities”), issued or to be issued in one or more series under an indenture, dated as of January 17, 2006 (the “Base Indenture”), between the
Company and U.S. Bank National Association (the “Trustee,” which term includes any successor Trustee under the Base Indenture) to which Base Indenture, together with all indentures supplemental to the Base Indenture and the Officers’
Certificates under Section 3.01 of the Base Indenture setting forth the form and terms of the Notes (the Base Indenture as so supplemented, “the Indenture”), reference is hereby made for a statement of the respective rights,
limitations of rights, duties and immunities thereunder of the Company, the Trustee and the Holders of the Notes and of the terms upon which the Notes are, and are to be, authenticated and delivered. This Note is one of the series designated on the
face hereof limited in aggregate principal amount to $450,000,000, except that the Company may, without the consent of the Holders, “reopen” the series and issue more notes that have the same ranking, interest rate, maturity date and other
terms as this Note. 
 All or a portion of the Notes may be redeemed by the Company at any time prior to September 1, 2021
(three months prior to the maturity date of the Notes). The Redemption Price for the Notes to be redeemed on any Redemption Date will be equal to the greater of (i) 100% of the principal amount of the Notes being redeemed on the Redemption Date
and (ii) the sum of the present values of the remaining scheduled payments of principal and interest on the Notes being redeemed on that Redemption Date (not including any portion of any payments of interest accrued to the Redemption Date),
discounted to the Redemption Date on a semi-annual basis (assuming a 360-day year consisting of twelve 30-day months) at the Treasury Rate (as defined below), plus 25 basis points, plus in either of case (i) or (ii) above, accrued and
unpaid interest on the Notes being redeemed to the Redemption Date. 
 In addition, at any time on or after September 1,
2021 (three months prior to the maturity date of the Notes), the Company may redeem some or all of the Notes at its option, at a Redemption Price equal to 100% of the principal amount of the Notes being redeemed, plus accrued and unpaid interest on
the Notes being redeemed to the Redemption Date. 
 Holders of Notes to be redeemed will receive notice thereof by first-class
mail at least 30 and not more than 60 days prior to the Redemption Date. If fewer than all of the Notes are to be redeemed, the Trustee will select, not more than 60 days prior to the Redemption Date, the particular Notes or portions thereof for
redemption from the outstanding not previously called by such method as the Trustee deems fair and appropriate. 

  
 B-3

 For the purposes of determining the Redemption Price, “Treasury Rate” means, with
respect to any Redemption Date, the rate per annum equal to the semi-annual equivalent yield to maturity of the Comparable Treasury Issue, calculated using a price for the Comparable Treasury Issue (expressed as a percentage of its principal amount)
equal to the Comparable Treasury Price for such Redemption Date. The Treasury Rate will be calculated on the third business day preceding the Redemption Date. “Comparable Treasury Issue” means the U.S. Treasury security selected by an
Independent Investment Banker as having a maturity comparable to the remaining term of the Notes to be redeemed that would be utilized, at the time of selection and in accordance with customary financial practice, in pricing new issues of Debt
Securities of comparable maturity to the remaining term of such Notes. “Independent Investment Banker” means one of the Reference Treasury Dealers appointed by the Company. “Comparable Treasury Price” means, with respect to any
Redemption Date, (1) the average of five Reference Treasury Dealer Quotations for such Redemption Date, after excluding the highest and lowest Reference Treasury Dealer Quotations, or (2) if the Independent Investment Banker obtains fewer
than five such Reference Treasury Dealer Quotations, the average of all such quotations. “Reference Treasury Dealer” means (1) each of Barclays Capital Inc., Citigroup Global Markets Inc. and J.P. Morgan Securities LLC (or their
respective affiliates that are primary U.S. Government securities dealers); provided, however, that if any of the foregoing shall cease to be a primary U.S. Government securities dealer in New York City (a “Primary Treasury Dealer”), the
Company will substitute therefor another Primary Treasury Dealer, (2) one Primary Treasury Dealer selected by Banca IMI S.p.A. or its successor and (3) one Primary Treasury Dealer selected by Credit Agricole Securities (USA) Inc. or its
successor. “Reference Treasury Dealer Quotations” means, with respect to each Reference Treasury Dealer and any Redemption Date, the average, as determined by the Independent Investment Banker, of the bid and asked prices for the
Comparable Treasury Issue (expressed in each case as a percentage of its principal amount) quoted in writing to the Independent Investment Banker at 5:00 p.m., New York City time, on the third business day preceding the Redemption Date. 

The Company shall have no obligation to redeem or purchase the Notes pursuant to any sinking fund or analogous provision. 

Upon the occurrence of a Change of Control Triggering Event with respect to the Notes, unless the Company has exercised its right to
redeem the Notes, each Holder of Notes will have the right to require the Company to purchase all or a portion of such Holder’s Notes pursuant to a Change of Control Offer, at a purchase price equal to 101% of the principal amount thereof plus
accrued and unpaid interest, if any, up to but not including the date of purchase, subject to the rights of Holders of Notes on the relevant record date to receive interest due and owing on the relevant Interest Payment Date. The Change of Control
Offer will be made in accordance with the terms specified in the Indenture. 
 With the consent of the Holders of greater than
50% in aggregate principal amount of the Outstanding Debt Securities of each series affected by such supplemental indenture, the Company and the Trustee may enter into an indenture or indentures supplemental to the Indenture for the purpose of
adding any provisions to or changing the provisions of the Indenture or any supplement thereto or of modifying in any manner the rights of the Holders of the Debt Securities of each series under the Indenture; provided, however, that no such
supplemental indenture shall (a) extend the time or terms of payment of the principal at maturity of, or the interest on, any such series of Debt Securities, or reduce principal or premium or the rate of interest, without the consent of the
Holder thereof, or (b) without the consent of all of the 

  
 B-4

 
Holders of any series of Debt Securities then outstanding, reduce the percentage of Debt Securities of any such series, the Holders of which are required to consent (i) to any such
supplemental indenture, (ii) to rescind and annul a declaration that the Debt Securities of any series are due and payable as a result of the occurrence of an Event of Default, (iii) to waive any past Event of Default under the Indenture
and its consequences and (iv) to waive compliance with certain other provisions contained in the Indenture. 
 The Company
and the Trustee may enter into an indenture or indentures supplemental to the Indenture without the consent of the Holders for limited purposes specified in the Indenture. 
 The Holders of greater than 50% in aggregate principal amount of the Outstanding Notes may on behalf of the Holders of all the Notes waive any past default or Event of Default under the Indenture and its
consequences except a default in the payment of principal of or premium, if any, or interest on the Notes. 
 Holders of Notes
may not enforce their rights pursuant to the Indenture or the Notes except as provided in the Indenture. No reference herein to the Indenture and no provision of this Note or of the Indenture shall alter or impair the obligation of the Company,
which is absolute and unconditional, to pay the principal of (and premium, if any) and interest on this Note at the times, place and rate, and in the coin or currency, herein prescribed. 

The Notes are issuable only in registered form without coupons in denominations of U.S.$2,000 and any integral multiples of U.S.$1,000 in
excess thereof. As provided in the Indenture and subject to certain limitations therein set forth, Notes are exchangeable for a like aggregate principal amount of Notes that are of other authorized denominations. 

Notes to be exchanged shall be surrendered at any office or agency maintained by the Company for such purpose, and the Company shall
execute and the Trustee shall authenticate and deliver in exchange therefor the Notes which the Holder making the exchange shall be entitled to receive. Upon due presentment for registration of transfer of any Note at any such office or agency, the
Company shall execute and register and the Trustee shall authenticate and deliver in the name of the transferee or transferees a new Note for an equal aggregate amount. Registration or registration of transfer of any Note by the Debt Security
Registrar (initially U.S. Bank National Association) in the registry books maintained by such Debt Security Registrar in The City of New York, New York, and delivery of such Note, duly authenticated, shall be deemed to complete the registration or
registration of transfer of such Note. 
 No service charge shall be made for any exchange or registration of transfer, but the
Company or the Trustee may require payment of a sum sufficient to cover any tax or other governmental charge payable in connection therewith. Prior to due presentment of a Note for registration of transfer, the Company, the Trustee and any agent of
the Company or the Trustee may treat the person in whose name a Note is registered as the owner for all purposes whether or not such Note be overdue and neither the Company, the Trustee nor any such agent shall be affected by notice to the contrary.

 Certain of the Company’s obligations under the Indenture with respect to the Notes may be terminated if the Company
irrevocably deposits with the Trustee money or eligible instruments sufficient to pay and discharge the entire indebtedness on all of the Notes, as described in the Indenture. 

  
 B-5

 This Note is in the form of a Global Security as provided in the Indenture. If at any time
the Depositary notifies the Company that it is unwilling or unable to continue as Depositary for this Note or if at any time the Depositary for the Notes shall no longer be eligible or in good standing under the Exchange Act, or other applicable
statute or regulation, the Company shall appoint a successor Depositary with respect to this Note. If a successor Depositary for this Note is not appointed by the Company within 90 days after the Company receives notice or becomes aware of such
ineligibility, the Company will issue Notes in definitive form in exchange for the Global Security representing Notes in an aggregate principal amount equal to the principal amount of this Note in exchange for this Note. 

No recourse under or upon any obligation, covenant or agreement of the Indenture, any supplemental indenture, or of any Note, or for any
claim based hereon, or otherwise in respect thereof shall be had against any incorporator, stockholder, or director, as such, past, present or future, of the Company or any Subsidiary or of any predecessor or successor corporation, either directly
or through the Company, whether by virtue of any constitution, statute or rule of law, or by the enforcement of any assessment or penalty or otherwise, all such liabilities being, by the acceptance hereof and as part of the consideration for the
issue hereof, expressly waived and released. 
 The Notes are subject to defeasance at the option of the Company as provided in
the Indenture. 
 All terms used in this Note which are defined in the Indenture shall have the meanings assigned to them in the
Indenture. 

  
 B-6

 IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed under its
corporate seal. 
  

									
	Dated: December 2, 2011	 		 	JOHNSON CONTROLS, INC.
					
		 		 		 	By:	 	 
		 		 		 	Name:	 	R. Bruce McDonald
		 		 		 	Title:	 	 Executive Vice President and Chief
 Financial Officer

  

									
	 [SEAL]
	 		 	Attest:
					
		 		 		 	By:	 	 
		 		 		 	Name:	 	Jerome D. Okarma
		 		 		 	Title:	 	Vice President, Secretary and General Counsel

  
 B-7

   
 ABBREVIATIONS 
 The following abbreviations, when used in the inscription
on the face of this instrument, shall be construed as though they were written out in full according to applicable laws or regulations: 
 TEN COM - as tenants in common 
 TEN ENT - as tenants by the entireties 

JT TEN - as joint tenants with right of survivorship and not as tenants in common 

UNIF GIFT MIN ACT - ______Custodian_______ 
 (Cust)            (Minor) 
 Under Uniform Gifts to Minors Act 
 _____________________

 (State) 
 Additional abbreviations may also be used though not in the above list. 
  

 
 FOR VALUE
RECEIVED, the undersigned hereby sell(s), assign(s) and transfer(s) unto 
 PLEASE INSERT SOCIAL SECURITY OR 

OTHER IDENTIFYING NUMBER OF ASSIGNEE 
  

			
	 	 	 

 PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE 

the within Security and all rights thereunder, hereby irrevocably constituting and appointing
                     attorney to transfer said Security on the books of the Company, with full power of substitution in the premises.

  

			
	Dated:
		
		 	 
		
		 	 Signature

 NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE WITHIN INSTRUMENT
IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER. 

  
 B-8

 Schedule I 
 SCHEDULE OF TRANSFERS AND EXCHANGES 
 JOHNSON CONTROLS, INC.

 3.750% Senior Notes due 2021 
 The initial principal amount of this Global Debt Security is [            ] Dollars
($[            ]). The following increases or decreases in the principal amount of this Global Debt Security have been made: 

 

																			
	Date of Exchange	 	 	Amount of Decrease in
Principal Amount of
this Global Debt
Security	 	 	Amount of Increase in
Principal amount of
this Global Debt
Security	 	 	Principal Amount of
Global Debt Security
following
such
Decrease or Increase	 	 	Signature of
Authorized
Signature of trustee
or
Custodian	 
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  

  
 B-9

 EXHIBIT C 
 FORM OF NOTE 
 Unless this certificate is presented by an authorized
representative of the Depository Trust Company, a New York Corporation (the “Depositary”), to the Issuer or its agent for registration of transfer, exchange, or payment, and any certificate issued is registered in the name of
Cede & Co. or in such other name as is requested by an authorized representative of the Depositary (and any payment is made to Cede & Co. or to such other entity as is requested by an authorized representative of the Depositary),
ANY TRANSFER, PLEDGE, OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL inasmuch as the registered owner hereof Cede & Co., has an interest herein. 

 

			
	REGISTERED	 	REGISTERED

 JOHNSON CONTROLS, INC. 
 5.250% SENIOR NOTES DUE 2041 
 CUSIP: 478366 BB2 

ISIN: US478366BB28 
  

			
	No. [    ]	 	US$[    ]

 JOHNSON CONTROLS, INC., a corporation duly organized and existing under the laws of the State of
Wisconsin (the “Company,” which term includes any successor corporation under the Indenture hereinafter referred to), for value received, hereby promises to pay to [            ],
or registered assignees, the principal sum set forth in the Schedule of Transfers and Exchanges in Note attached hereto, which amount shall not exceed Two Hundred Fifty Million and 00/100 Dollars ($250,000,000) on December 1, 2041, and to pay
interest thereon from December 2, 2011, or from the most recent Interest Payment Date to which interest has been paid or duly provided for, semiannually on June 1 and December 1 of each year, commencing June 1, 2012, at the rate
of 5.250% per annum, until the principal hereof becomes due and payable, and at such rate on any overdue principal and (to the extent that the payment of such interest shall be legally enforceable) on any overdue installment of interest. The
interest so payable, and punctually paid or duly provided for, on any Interest Payment Date will, as provided in such Indenture, be paid to the Person in whose name this 5.250% Note Due 2041 (this “Note,” and all of the Notes collectively
referred to herein as the “Notes”) (or one or more Predecessor Debt Securities) is registered at the close of business on the Regular Record Date for such interest, which shall be the May 15 or November 15 (whether or not a
Business Day), as the case may be, next preceding such Interest Payment Date; provided, however, that interest payable on the Interest Payment Date occurring at maturity will be paid to the person to whom principal shall be payable. Any such
interest not punctually paid or duly provided for on any Interest Payment Date shall forthwith 

  
 C-1

 
cease to be payable to the registered Holder on such Regular Record Date by virtue of his having been such Holder, and may either be paid to the Person in whose name this Note (or one or more
Predecessor Debt Securities) is registered at the close of business on a Special Record Date for the payment of such Defaulted Interest to be fixed by the Trustee, notice whereof shall be given to Holders of Notes not more than 15 days and not less
than 10 days prior to such Special Record Date, or be paid at any time in any other lawful manner not inconsistent with the requirements of any securities exchange on which the Notes may be listed, and upon such notice as may be required by such
exchange, all as more fully provided in said Indenture. 
 This is one of the Debt Securities of the series designated herein
issued under the within-mentioned Indenture. 
 Dated: December 2, 2011 

 

			
	 U.S. Bank National Association,
As Trustee

		
	By:	 	 
		 	Authorized Officer

  
 C-2

 Payments of interest will be made by wire transfer of immediately available funds. Principal
and any premium and interest payable at Maturity will be paid in immediately available funds upon surrender of such Note at the office of a Paying Agent in The City of New York, New York or at such other office or agency as the Company may
designate. 
 Unless the certificate of authentication herein has been duly executed by the Trustee referred to herein by manual
signature, this Note shall not be entitled to any benefit under the Indenture or be valid or obligatory for any purpose. 
 This
Note is one of a duly authorized issue of securities of the Company (the “Debt Securities”), issued or to be issued in one or more series under an indenture, dated as of January 17, 2006 (the “Base Indenture”), between the
Company and U.S. Bank National Association (the “Trustee,” which term includes any successor Trustee under the Base Indenture) to which Base Indenture, together with all indentures supplemental to the Base Indenture and the Officers’
Certificates under Section 3.01 of the Base Indenture setting forth the form and terms of the Notes (the Base Indenture as so supplemented, “the Indenture”), reference is hereby made for a statement of the respective rights,
limitations of rights, duties and immunities thereunder of the Company, the Trustee and the Holders of the Notes and of the terms upon which the Notes are, and are to be, authenticated and delivered. This Note is one of the series designated on the
face hereof limited in aggregate principal amount to $250,000,000, except that the Company may, without the consent of the Holders, “reopen” the series and issue more notes that have the same ranking, interest rate, maturity date and other
terms as this Note. 
 All or a portion of the Notes may be redeemed by the Company at any time prior to June 1, 2041 (six
months prior to the maturity date of the Notes). The Redemption Price for the Notes to be redeemed on any Redemption Date will be equal to the greater of (i) 100% of the principal amount of the Notes being redeemed on the Redemption Date and
(ii) the sum of the present values of the remaining scheduled payments of principal and interest on the Notes being redeemed on that Redemption Date (not including any portion of any payments of interest accrued to the Redemption Date),
discounted to the Redemption Date on a semi-annual basis (assuming a 360-day year consisting of twelve 30-day months) at the Treasury Rate (as defined below), plus 35 basis points, plus in either of case (i) or (ii) above, accrued and
unpaid interest on the Notes being redeemed to the Redemption Date. 
 In addition, at any time on or after June 1, 2041
(six months prior to the maturity date of the Notes), the Company may redeem some or all of the Notes at its option, at a Redemption Price equal to 100% of the principal amount of the Notes being redeemed, plus accrued and unpaid interest on the
Notes being redeemed to the Redemption Date. 
 Holders of Notes to be redeemed will receive notice thereof by first-class mail
at least 30 and not more than 60 days prior to the Redemption Date. If fewer than all of the Notes are to be redeemed, the Trustee will select, not more than 60 days prior to the Redemption Date, the particular Notes or portions thereof for
redemption from the outstanding not previously called by such method as the Trustee deems fair and appropriate. 

  
 C-3

 For the purposes of determining the Redemption Price, “Treasury Rate” means, with
respect to any Redemption Date, the rate per annum equal to the semi-annual equivalent yield to maturity of the Comparable Treasury Issue, calculated using a price for the Comparable Treasury Issue (expressed as a percentage’ of its principal
amount) equal to the Comparable Treasury Price for such Redemption Date. The Treasury Rate will be calculated on the third business day preceding the Redemption Date. “Comparable Treasury Issue” means the U.S. Treasury security selected by
an Independent Investment Banker as having a maturity comparable to the remaining term of the Notes to be redeemed that would be utilized, at the time of selection and in accordance with customary financial practice, in pricing new issues of Debt
Securities of comparable maturity to the remaining term of such Notes. “Independent Investment Banker” means one of the Reference Treasury Dealers appointed by the Company. “Comparable Treasury Price” means, with respect to any
Redemption Date, (1) the average of five Reference Treasury Dealer Quotations for such Redemption Date, after excluding the highest and lowest Reference Treasury Dealer Quotations, or (2) if the Independent Investment Banker obtains fewer
than five such Reference Treasury Dealer Quotations, the average of all such quotations. “Reference Treasury Dealer” means (1) each of Barclays Capital Inc., Citigroup Global Markets Inc. and J.P. Morgan Securities LLC (or their
respective affiliates that are primary U.S. Government securities dealers); provided, however, that if any of the foregoing shall cease to be a primary U.S. Government securities dealer in New York City (a “Primary Treasury Dealer”), the
Company will substitute therefor another Primary Treasury Dealer, (2) one Primary Treasury Dealer selected by Banca IMI S.p.A. or its successor and (3) one Primary Treasury Dealer selected by Credit Agricole Securities (USA) Inc. or its
successor. “Reference Treasury Dealer Quotations” means, with respect to each Reference Treasury Dealer and any Redemption Date, the average, as determined by the Independent Investment Banker, of the bid and asked prices for the
Comparable Treasury Issue (expressed in each case as a percentage of its principal amount) quoted in writing to the Independent Investment Banker at 5:00 p.m., New York City time, on the third business day preceding the Redemption Date. 

The Company shall have no obligation to redeem or purchase the Notes pursuant to any sinking fund or analogous provision. 

Upon the occurrence of a Change of Control Triggering Event with respect to the Notes, unless the Company has exercised its right to
redeem the Notes, each Holder of Notes will have the right to require the Company to purchase all or a portion of such Holder’s Notes pursuant to a Change of Control Offer, at a purchase price equal to 101% of the principal amount thereof plus
accrued and unpaid interest, if any, up to but not including the date of purchase, subject to the rights of Holders of Notes on the relevant record date to receive interest due and owing on the relevant Interest Payment Date. The Change of Control
Offer will be made in accordance with the terms specified in the Indenture. 

  
 C-4

 With the consent of the Holders of greater than 50% in aggregate principal amount of the
Outstanding Debt Securities of each series affected by such supplemental indenture, the Company and the Trustee may enter into an indenture or indentures supplemental to the Indenture for the purpose of adding any provisions to or changing the
provisions of the Indenture or any supplement thereto or of modifying in any manner the rights of the Holders of the Debt Securities of each series under the Indenture; provided, however, that no such supplemental indenture shall (a) extend the
time or terms of payment of the principal at maturity of, or the interest on, any such series of Debt Securities, or reduce principal or premium or the rate of interest, without the consent of the Holder thereof, or (b) without the consent of
all of the Holders of any series of Debt Securities then outstanding, reduce the percentage of Debt Securities of any such series, the Holders of which are required to consent (i) to any such supplemental indenture, (ii) to rescind and
annul a declaration that the Debt Securities of any series are due and payable as a result of the occurrence of an Event of Default, (iii) to waive any past Event of Default under the Indenture and its consequences and (iv) to waive
compliance with certain other provisions contained in the Indenture. 
 The Company and the Trustee may enter into an indenture
or indentures supplemental to the Indenture without the consent of the Holders for limited purposes specified in the Indenture. 

The Holders of greater than 50% in aggregate principal amount of the Outstanding Notes may on behalf of the Holders of all the Notes
waive any past default or Event of Default under the Indenture and its consequences except a default in the payment of principal of or premium, if any, or interest on the Notes. 

Holders of Notes may not enforce their rights pursuant to the Indenture or the Notes except as provided in the Indenture. No reference
herein to the Indenture and no provision of this Note or of the Indenture shall alter or impair the obligation of the Company, which is absolute and unconditional, to pay the principal of (and premium, if any) and interest on this Note at the times,
place and rate, and in the coin or currency, herein prescribed. 
 The Notes are issuable only in registered form without
coupons in denominations of U.S.$2,000 and any integral multiples of U.S.$1,000 in excess thereof. As provided in the Indenture and subject to certain limitations therein set forth, Notes are exchangeable for a like aggregate principal amount of
Notes that are of other authorized denominations. 
 Notes to be exchanged shall be surrendered at any office or agency
maintained by the Company for such purpose, and the Company shall execute and the Trustee shall authenticate and deliver in exchange therefor the Notes which the Holder making the exchange shall be entitled to receive. Upon due presentment for
registration of transfer of any Note at any such office or agency, the Company shall execute and register and the Trustee shall authenticate and deliver in the name of the transferee or transferees a new Note for an equal aggregate amount.
Registration or registration of transfer of any Note by the Debt Security Registrar (initially U.S. Bank National Association) in the registry books maintained by such Debt Security Registrar in The City of New York, New York, and delivery of such
Note, duly authenticated, shall be deemed to complete the registration or registration of transfer of such Note. 

  
 C-5

 No service charge shall be made for any exchange or registration of transfer, but the
Company or the Trustee may require payment of a sum sufficient to cover any tax or other governmental charge payable in connection therewith. Prior to due presentment of a Note for registration of transfer, the Company, the Trustee and any agent of
the Company or the Trustee may treat the person in whose name a Note is registered as the owner for all purposes whether or not such Note be overdue and neither the Company, the Trustee nor any such agent shall be affected by notice to the contrary.

 Certain of the Company’s obligations under the Indenture with respect to the Notes may be terminated if the Company
irrevocably deposits with the Trustee money or eligible instruments sufficient to pay and discharge the entire indebtedness on all of the Notes, as described in the Indenture. 
 This Note is in the form of a Global Security as provided in the Indenture. If at any time the Depositary notifies the Company that it is unwilling or unable to continue as Depositary for this Note or if
at any time the Depositary for the Notes shall no longer be eligible or in good standing under the Exchange Act, or other applicable statute or regulation, the Company shall appoint a successor Depositary with respect to this Note. If a successor
Depositary for this Note is not appointed by the Company within 90 days after the Company receives notice or becomes aware of such ineligibility, the Company will issue Notes in definitive form in exchange for the Global Security representing Notes
in an aggregate principal amount equal to the principal amount of this Note in exchange for this Note. 
 No recourse under or
upon any obligation, covenant or agreement of the Indenture, any supplemental indenture, or of any Note, or for any claim based hereon, or otherwise in respect thereof shall be had against any incorporator, stockholder, or director, as such, past,
present or future, of the Company or any Subsidiary or of any predecessor or successor corporation, either directly or through the Company, whether by virtue of any constitution, statute or rule of law, or by the enforcement of any assessment or
penalty or otherwise, all such liabilities being, by the acceptance hereof and as part of the consideration for the issue hereof, expressly waived and released. 
 The Notes are subject to defeasance at the option of the Company as provided in the Indenture. 
 All terms used in this Note, which are defined in the Indenture shall have the meanings assigned to them in the Indenture. 

  
 C-6

 IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed under its
corporate seal. 
  

									
	Dated: December 2, 2011	 		 	JOHNSON CONTROLS, INC.
					
		 		 		 	By:	 	 
		 		 		 	Name:	 	R. Bruce McDonald
		 		 		 	Title:	 	Executive Vice President and Chief Financial Officer
			
	[SEAL]	 		 	Attest:
					
		 		 		 	By:	 	 
		 		 		 	Name:	 	Jerome D. Okarma
		 		 		 	Title:	 	Vice President, Secretary and General Counsel

  
 C-7

   
 ABBREVIATIONS 
 The following abbreviations, when used in the inscription
on the face of this instrument, shall be construed as though they were written out in full according to applicable laws or regulations: 
 TEN COM - as tenants in common 
 TEN ENT - as tenants by the entireties 

JT TEN - as joint tenants with right of survivorship and not as tenants in common 

UNIF GIFT MIN ACT - _______Custodian_________ 
 (Cust)            (Minor) 
 Under Uniform Gifts to Minors Act 
 ______________________

 (State) 
 Additional abbreviations may also be used though not in the above list. 
 FOR
VALUE RECEIVED, the undersigned hereby sell(s), assign(s) and transfer(s) unto 
 PLEASE INSERT SOCIAL SECURITY OR 

OTHER IDENTIFYING NUMBER OF ASSIGNEE 
  

			
	 	 	 

 PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE 

the within Security and all rights thereunder, hereby irrevocably constituting and appointing
                     attorney to transfer said Security on the books of the Company, with full power of substitution in the premises.

  

			
	Dated:
		
		 	 
		
		 	 Signature

 NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE WITHIN INSTRUMENT
IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER. 

  
 C-8

 Schedule I 
 SCHEDULE OF TRANSFERS AND EXCHANGES 
 JOHNSON CONTROLS, INC.

 5.250% Senior Notes due 2041 
 The initial principal amount of this Global Debt Security is [            ] Dollars
($[            ]). The following increases or decreases in the principal amount of this Global Debt Security have been made: 

 

																			
	Date of Exchange	 	 	Amount of Decrease in
Principal
Amount of
this Global Debt
Security	 	 	Amount of Increase in
Principal amount of
this Global Debt
Security	 	 	Principal Amount of
Global Debt Security
following such
Decrease or 
Increase	 	 	Signature of
Authorized
Signature of trustee
or Custodian	 
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  
	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  	 	 	_______________	  

  
 C-9

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00197-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00197-of-00352.parquet"}]]