(4)
Mr. Molinaroli left his role as Chairman and
CEO effective September 1, 2017.
(5)
Mr. Young became a director on
December 7, 2017.
The following table sets forth the information indicated for persons or groups known to the Company to be beneficial owners
of more than 5% of the outstanding ordinary shares.
|
|
|
|
|
|
|
|
|
Name and Address of Beneficial Owner
|
|
Number of
Ordinary Shares
Beneficially
Owned
|
|
|
Percentage of
Ordinary Shares
Outstanding
|
|
|
|
|
Dodge & Cox, 555 California Street 40
th
Floor
San Francisco, CA 94104
|
|
|
65,273,649
|
(1)
|
|
|
7.00
|
%
|
The Vanguard Group, 100 Vanguard Blvd., Malvern, PA 19355
|
|
|
57,509,967
|
(2)
|
|
|
6.13
|
%
|
BlackRock, Inc., 55 East 52
nd
Street, New York, NY
10055
|
|
|
56,082,625
|
(3)
|
|
|
6.00
|
%
|
T. Rowe Price, 100 E. Pratt Street Baltimore, MD 21202
|
|
|
55,413,241
|
(4)
|
|
|
5.94
|
%
|
Capital Group Companies, 333 South Hope Street Los Angeles, CA 90071
|
|
|
47,105,396
|
(5)
|
|
|
5.05
|
%
|
(1)
Based solely on
the information reported by Dodge & Cox in a Notification of Holdings under Irish law provided to the Company on October 16, 2017 and reporting ownership as of October 10, 2017, Dodge & Cox, together with its affiliates,
held an interest in 65,273,649 ordinary shares.
(2)
The amount shown for the number of ordinary
shares over which The Vanguard Group exercised investment discretion was provided pursuant to the Schedule 13G/A filed February 24, 2017 with the SEC, indicating beneficial ownership as of December 31, 2016.
(3)
The amount shown for the number of ordinary
shares over which BlackRock, Inc. exercised investment discretion was provided pursuant to the Schedule 13G/A filed January 25, 2017 with the SEC, indicating beneficial ownership as of December 31, 2016.
(4)
Based solely on the information reported by T.
Rowe Price in a Notification of Holdings under Irish law provided to the Company on November 10, 2017 and reporting ownership as of November 6, 2017. On such date, T. Rowe Price, together with its affiliates, held an interest in 55,413,241
ordinary shares.
(5)
Based solely on the
information reported by Capital Group Companies in a Notification of Holdings under Irish law provided to the Company on September 19, 2017 and reporting ownership as of September 18, 2017. On such date, Capital Group Companies, together
with its affiliates, held an interest in 47,105,396 ordinary shares.
Section 16(A) Beneficial Ownership Reporting Compliance
Section 16(a) of the Securities Exchange Act of 1934 requires the Companys officers and Directors and persons who beneficially own more
than 10% of Johnson Controls ordinary shares to file reports of ownership and changes in ownership of such ordinary shares with the SEC and NYSE. These persons are required by SEC regulations to furnish the Company with copies of all
Section 16(a) forms they file. As a matter of practice, the Companys administrative staff assists officers and Directors in preparing initial reports of ownership and reports of changes in ownership and files those reports on their
behalf. Based on the Companys review of the copies of such forms it has received, as well as information provided and representations made by the reporting persons, other than the exception noted below, Johnson Controls believes that all of
its officers, Directors and beneficial owners of more than 10% of its ordinary shares complied with Section 16(a) during the Companys fiscal year ended September 30, 2017.