SEC Form 4/A · accession 0001127602-16-063129
Johnson Controls International plc · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Brian J Stief
Officer — Executive VP and CFO
Period of report
Sep 8, 2016
Accepted (ET)
Sep 23, 2016 · 5:11 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 | 18,286 | $0.00 | A | 31,439 | 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 PlanF1,F2,F3 | $0.00 | Sep 8, 2016 | A | 18,285 | A | — | — | Ordinary Shares | 18,285 | 89,701 | D |
Explanation of responses
- F1This report on Form 4/A amends the original Form 4 filed by the Reporting Person on September 12, 2016 and is being filed to correct the originally reported acquisition of 17,980 ordinary shares underlying restricted share units granted on September 8, 2012 and the acquisition of 17,980 phantom stock units also on September 8, 2016.
- 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.