SEC Form 4 · accession 0001127602-16-064659
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
Joseph A Walicki
Officer — Vice President & President, PS
Period of report
Oct 7, 2016
Accepted (ET)
Oct 11, 2016 · 6:31 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 | Oct 7, 2016 | A | 14,103 | $0.00 | A | 149,230 | D | |
| Ordinary SharesF2 | holding | — | — | — | 4,236 | 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)F3 | $45.29 | Oct 7, 2016 | A | 71,051 | A | Oct 7, 2018 | Oct 7, 2026 | Ordinary Shares | 71,051 | 71,051 | D |
Explanation of responses
- F1Reflects grant of restricted stock units that, subject to certain acceleration and forfeiture provisions, vest in three equal installments on each of the first, second and third anniversary of the grant date. Restricted stock units accrue dividend equivalent units and convert to ordinary shares upon vesting.
- F2The 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.
- F3Subject to certain acceleration and forfeiture provisions, fifty percent of the options become exercisable on the second anniversary of the grant date and the remaining fifty percent become exercisable on the third anniversary.