SEC Form 4 · accession 0001127602-16-068108
Johnson Controls International plc · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Walicki
Officer — Vice President & President, PS
Period of report
Nov 18, 2016
Accepted (ET)
Nov 22, 2016 · 4:20 pm EST
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 | Nov 18, 2016 | A | 34,306 | $0.00 | A | 195,332 | D | |
| Ordinary Shares | Nov 21, 2016 | F | 1,377 | $44.71 | D | 193,955 | D | |
| Ordinary SharesF2 | holding | — | — | — | 4,221 | I | By 401k Plan Trustee |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the number of ordinary shares underlying previously unreported performance share units that were converted into time-based restricted share units based on performance results through the end of fiscal year 2016, and as approved by the Compensation Committee on November 18, 2016. The resulting time-based restricted share units remain subject to certain forfeiture and accelerated vesting provisions.
- 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.