SEC Form 4 · accession 0001127602-16-062142

Johnson Controls International plc · JCI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Simon Davis

Officer — VP & Chief Human Resources Ofc

Period of report

Sep 2, 2016

Accepted (ET)

Sep 7, 2016 · 6:34 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000833444

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Ordinary Shares^F1,F2	Sep 2, 2016	A	31,393	—	A	31,393	D
Ordinary Shares^F3,F2	Sep 2, 2016	A	418	—	A	418	I	By 401k Plan Trustee

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F4	$24.87	Sep 2, 2016	A	11,300	A	Oct 1, 2011	Oct 1, 2019	Ordinary Shares	11,300	11,300	D
Employee Stock Option (Right to Buy)^F4	$30.54	Sep 2, 2016	A	9,500	A	Oct 1, 2012	Oct 1, 2020	Ordinary Shares	9,500	9,500	D
Employee Stock Option (Right to Buy)^F4	$28.54	Sep 2, 2016	A	12,500	A	Oct 7, 2013	Oct 7, 2021	Ordinary Shares	12,500	12,500	D
Employee Stock Option (Right to Buy)^F4	$27.85	Sep 2, 2016	A	16,100	A	Oct 5, 2014	Oct 5, 2022	Ordinary Shares	16,100	16,100	D
Employee Stock Option (Right to Buy)^F4	$48.37	Sep 2, 2016	A	10,204	A	Nov 19, 2015	Nov 19, 2023	Ordinary Shares	10,204	10,204	D
Employee Stock Option (Right to Buy)^F4,F5	$50.23	Sep 2, 2016	A	18,661	A	Nov 18, 2016	Nov 18, 2024	Ordinary Shares	18,661	18,661	D
Employee Stock Option (Right to Buy)^F4,F5	$43.86	Sep 2, 2016	A	24,942	A	Oct 7, 2017	Oct 7, 2025	Ordinary Shares	24,942	24,942	D
Phantom Stock Units - Restricted Stock Plan^F8,F6,F7	$0.00	Sep 2, 2016	A	15,384	A	—	—	Ordinary Shares	15,384	15,384	D

Explanation of responses

F1The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger.
F2Shares acquired in connection with the closing of the merger between Johnson Controls, Inc. ("Johnson Controls") and Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") (the "merger"), pursuant to which each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash.
F3The number of underlying securities is based on the stock fund balance. The actual number of shares issuable upon the distribution date is not determinable since the fund is a unitized account consisting of 96% company shares and 4% money market fund. The balance reflected in this report is based on an August 26, 2016 price of $43.89 per share, which is the most recent information available for the plan.
F4Options acquired in connection with the closing of the merger, pursuant to which Johnson Controls options were converted into an equivalent number of options with respect to JCI plc at the same exercise price.
F5Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
F6Each unit of phantom stock is the economic equivalent of one ordinary share of JCI plc.
F7Phantom stock units accrue under the Johnson Controls Restricted Stock Plan and settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements.
F8Restricted stock units acquired in connection with the closing of the merger, pursuant to which each restricted stock unit of Johnson Controls (the economic equivalent of one share of Johnson Controls common stock) was converted into a restricted stock unit in JCI plc.