SEC Form 4 · accession 0001225208-15-021298
Johnson Controls International plc · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence B Costello
Officer — EVP Human Resources
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 4:57 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 |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Nov 19, 2015 | S | 20,353 | $35.715 | D | 56,495 | D | |
| Common SharesF2 | Nov 20, 2015 | M | 14,032 | $25.832 | A | 70,527 | D | |
| Common SharesF2 | Nov 20, 2015 | S | 14,032 | $36.00 | D | 56,495 | 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)F3 | $25.832 | Nov 20, 2015 | M | 14,032 | D | — | Mar 6, 2022 | Common Shares | 14,032 | 17,918 | D |
Explanation of responses
- F1Price reported is a weighted average price. Shares were sold in multiple transactions at prices ranging from $35.60 to $35.7970, inclusive. Reporting person will, upon request, supply the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2Transactions pursuant to a Rule 10b5-1 plan executed on August 4, 2015
- F3Options became exercisable in equal installments on the first, second, third and fourth anniversary of the grant date.