SEC Form 4 · accession 0001127602-17-004628
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
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 5:02 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 Shares | Feb 6, 2017 | M | 13,023 | $26.53 | A | 208,015 | D | |
| Ordinary SharesF1,F2 | Feb 6, 2017 | D | 13,023 | $42.403 | D | 194,992 | D | |
| Ordinary SharesF3 | holding | — | — | — | 4,248 | 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) | $26.53 | Feb 6, 2017 | M | 13,023 | D | Oct 1, 2010 | Oct 1, 2018 | Ordinary Shares | 13,023 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42.13 to $42.51, inclusive. The reporting person undertakes to provide to the issuer, any securityholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 1 of this Form 4.
- F2Includes 1,037.1 shares acquired via dividend reinvestment on January 6, 2017 at $42.79 per share.
- F3The 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.