0001127602-16-062006.txt : 20160906 0001127602-16-062006.hdr.sgml : 20160906 20160906210126 ACCESSION NUMBER: 0001127602-16-062006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160902 FILED AS OF DATE: 20160906 DATE AS OF CHANGE: 20160906 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JOHNSON CONTROLS INC CENTRAL INDEX KEY: 0000053669 STANDARD INDUSTRIAL CLASSIFICATION: PUBLIC BUILDING AND RELATED FURNITURE [2531] IRS NUMBER: 390380010 STATE OF INCORPORATION: WI FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 5757 N GREEN BAY AVENUE STREET 2: P O BOX 591 CITY: MILWAUKEE STATE: WI ZIP: 53201 BUSINESS PHONE: 4145241200 MAIL ADDRESS: STREET 1: 5757 N GREEN BAY AVENUE STREET 2: P O BOX 591 CITY: MILWAUKEE STATE: WI ZIP: 53201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JOERRES JEFFREY A CENTRAL INDEX KEY: 0001182537 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05097 FILM NUMBER: 161872083 MAIL ADDRESS: STREET 1: 5301 NORTH IRONWOOD ROAD CITY: MILWAUKEE STATE: WI ZIP: 53217 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-09-02 1 0000053669 JOHNSON CONTROLS INC JCI 0001182537 JOERRES JEFFREY A 5757 N. GREEN BAY AVE. P.O. BOX 591 MILWAUKEE WI 53201-0591 1 Common Stock 2016-09-02 4 D 0 13718 D 0 D Common Stock 2016-09-02 4 D 0 2358.292 D 0 I By Spouse As Trustee Of Tr Common Stock 2016-09-02 4 M 0 94182.45 A 94182.45 D Common Stock 2016-09-02 4 M 0 12321.437 A 106503.887 D Common Stock 2016-09-02 4 D 0 106503.887 48.90 D 0 D Phantom Stock Units / Directors' Deferred Compensation Plan 2016-09-02 4 M 0 94182.45 D Common Stock 94182.45 0 D Phantom Stock Units/ Directors' Share Unit Plan 2016-09-02 4 M 0 12321.437 D Common Stock 12321.437 0 D Each share of Johnson Controls, Inc. ("Johnson Controls") was converted into 0.8357 ordinary shares of Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") and $5.7293 in cash in connection with the closing of the merger between Johnson Controls and JCI plc (the "merger"). Includes 102.632 shares acquired via dividend reinvestment on April 2, July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $39.08 to $50.39 per share. The phantom stock units accrued under the Johnson Controls Directors' Deferred Compensation Plan and were settled 100% in cash in connection with the merger. Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. Includes 602.668 units acquired via dividend reinvestment on August 19, 2016 at $45.03 per unit. Includes 78.844 units acquired via dividend reinvestment on August 19, 2016 at $45.03 per unit. /s/ Catherine M. Walker, Attorney-in-fact for Jeffrey A. Joerres 2016-09-06