SEC Form 4/A · accession 0001127602-16-065294
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
Simon Davis
Officer — VP & Chief Human Resources Ofc
Period of report
Oct 7, 2016
Accepted (ET)
Oct 26, 2016 · 5:00 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 | 3,621 | $0.00 | A | 57,368 | 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 | 36,484 | A | Oct 7, 2018 | Oct 7, 2026 | Ordinary Shares | 36,484 | 36,484 | D |
| Phantom Stock Units - Restricted Stock PlanF4 | $0.00 | Oct 7, 2016 | A | 3,621 | A | — | — | Ordinary Shares | 3,621 | 41,205 | 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 3,201 ordinary shares underlying restricted share unitsgranted on October 7, 2016 and the acquisition of 3,202 phantom stock units also 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 32,258 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.
- F4Phantom 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.