SEC Form 4 · accession 0001225208-15-018045
Johnson Controls International plc · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Johan Fredrik Pfeiffer
Officer — EVP, ROW Install & Services
Period of report
Sep 2, 2015
Accepted (ET)
Sep 4, 2015 · 2:37 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 |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Sep 2, 2015 | A | 48,611 | $0.00 | A | 48,611 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $36.00 | Sep 2, 2015 | A | 180,041 | A | — | Sep 1, 2025 | Common Shares | 180,041 | 180,041 | D |
Explanation of responses
- F1Reflects grant of restricted stock units that, subject to acceleration upon certain events, vest in three equal installments on each of the first, second and third anniversary of the grant date. Restricted stock units accrue dividend equivalent units and convert to common shares upon vesting
- F2Subject to acceleration upon certain events, options become exercisable in three equal installments on each of the first, second and third anniversary of the grant date