SEC Form 4 · accession 0001127602-18-029167
Johnson Controls International plc · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Oliver
Officer — Chairman & CEO
Period of report
Sep 28, 2018
Accepted (ET)
Oct 2, 2018 · 5:23 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 28, 2018 | F | 48,927 | $35.00 | D | 740,139 | D | |
| Ordinary Shares | Oct 1, 2018 | M | 54,237 | $13.84 | A | 794,376 | D | |
| Ordinary Shares | Oct 1, 2018 | M | 16,638 | $16.10 | A | 811,014 | D | |
| Ordinary Shares | Oct 1, 2018 | D | 48,626 | $35.352 | D | 762,388 | 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) | $13.84 | Oct 1, 2018 | M | 54,237 | D | Oct 7, 2009 | Oct 6, 2018 | Ordinary Shares | 54,237 | 0 | D |
| Employee Stock Option (Right to Buy)F1 | $16.10 | Oct 1, 2018 | M | 16,638 | D | — | Sep 30, 2019 | Ordinary Shares | 16,638 | 183,021 | D |
Explanation of responses
- F1Subject to acceleration upon certain events, options become exercisable in four equal installments on each of the first, second, third and fourth anniversary of the grant date.