SEC Form 4 · accession 0001127602-18-035736
Johnson Controls International plc · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M VanHimbergen
Officer — VP Corporate Controller
Period of report
Dec 6, 2018
Accepted (ET)
Dec 10, 2018 · 6:13 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,F2 | Dec 6, 2018 | A | 3,444 | $0.00 | A | 22,064 | D | |
| Ordinary Shares | Dec 7, 2018 | F | 264 | $32.66 | D | 21,800 | D | |
| Ordinary SharesF3 | holding | — | — | — | 5,522 | 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)F4 | $33.39 | Dec 6, 2018 | A | 20,683 | A | Dec 6, 2020 | Dec 6, 2028 | Ordinary Shares | 20,683 | 20,683 | D |
Explanation of responses
- F1Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting.
- F2Each restricted share unit is the economic equivalent of one ordinary share of JCI.
- 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.
- F4Subject to certain acceleration and forfeiture provisions, fifty percent of the options become exercisable on the second anniversary of the grant date and the remaining fifty percent become exercisable on the third anniversary.