SEC Form 4 · accession 0001127602-16-062410
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
Brian J Stief
Officer — Executive VP and CFO
Period of report
Sep 8, 2016
Accepted (ET)
Sep 12, 2016 · 6:07 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 SharesF1 | Sep 8, 2016 | A | 17,980 | $0.00 | A | 31,133 | D | |
| Ordinary SharesF1 | Sep 8, 2016 | A | 26,117 | $0.00 | A | 57,250 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units - Restricted Stock PlanF2,F3 | $0.00 | Sep 8, 2016 | A | 17,980 | A | — | — | Ordinary Shares | 17,980 | 89,396 | D |
| Phantom Stock Units - Restricted Stock PlanF2,F3 | $0.00 | Sep 8, 2016 | A | 26,118 | A | — | — | Ordinary Shares | 26,118 | 115,514 | D |
Explanation of responses
- F1Reflects grant of restricted stock units. Restricted stock units accrue dividend equivalent units and convert to ordinary shares upon vesting.
- F2Each phantom stock unit is the economic equivalent of one ordinary share of JCI plc.
- F3Phantom 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.