SEC Form 4 · accession 0001127602-17-027080
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
Alex A Molinaroli
Officer — Chairman & CEO · Director
Period of report
Sep 1, 2017
Accepted (ET)
Sep 6, 2017 · 5:31 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 Shares | Sep 1, 2017 | F | 12,601 | $39.89 | D | 1,290,711 | D | |
| Ordinary SharesF1 | holding | — | — | — | 26,494 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units - Restricted Stock PlanF2 | $0.00 | Sep 1, 2017 | F | 1,696 | D | — | — | Ordinary Shares | 1,696 | 166,365 | D |
Explanation of responses
- F1The 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.
- F2Phantom stock units settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements.