SEC Form 4/A · accession 0001127602-16-065292
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
Joseph A Walicki
Officer — Vice President & President, PS
Period of report
Oct 7, 2016
Accepted (ET)
Oct 26, 2016 · 4:58 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 | 14,528 | $0.00 | A | 149,655 | D |
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)F2,F3 | $45.29 | Oct 7, 2016 | A | 73,192 | A | Oct 7, 2018 | Oct 7, 2026 | Ordinary Shares | 73,192 | 73,192 | D |
Explanation of responses
- F1This report on Form 4/A amends the original Form 4 filed by the Reporting Person on October 11, 2016 and is being filed to correct the originally reported acquisition of 14,103 ordinary shares underlying restricted share units granted on October 7, 2016.
- F2This report on Form 4/A amends the original Form 4 filed by the Reporting Person on October 11, 2016 and is being filed to correct the originally reported acquisition of 71,051 employee stock options granted on October 7, 2016.
- 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.