SEC Form 4 · accession 0001127602-18-031965
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
Nov 1, 2018
Accepted (ET)
Nov 2, 2018 · 4:51 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 | Nov 1, 2018 | M | 16,638 | $16.10 | A | 772,204 | D | |
| Ordinary SharesF1 | Nov 1, 2018 | D | 10,747 | $32.7175 | D | 761,457 | D | |
| Ordinary SharesF2 | Nov 1, 2018 | D | 1,426 | $33.2728 | D | 760,031 | 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)F3 | $16.10 | Nov 1, 2018 | M | 16,638 | D | — | Sep 30, 2019 | Ordinary Shares | 16,638 | 166,383 | 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 $32.15 to $33.14 inclusive, pursuant to a previously disclosed Rule 10b5-1 Trading Plan. 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.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $33.19 to $33.295 inclusive, pursuant to a previously disclosed Rule 10b5-1 Trading Plan. 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.
- F3Subject 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.