SEC Form 4 · accession 0001225208-16-032790
Johnson Controls International plc · JCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward D Breen
Director
Period of report
May 5, 2016
Accepted (ET)
May 6, 2016 · 4:47 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 Shares | May 5, 2016 | M | 291,942 | $26.3706 | A | 1,463,454 | D | |
| Common SharesF1 | May 5, 2016 | S | 206,770 | $37.2941 | D | 1,256,684 | D | |
| Common Shares | holding | — | — | — | 25,045 | I | 2014-1 GRAT | |
| Common Shares | holding | — | — | — | 114,810 | I | 2015 GRAT 4 |
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 | $26.3706 | May 5, 2016 | M | 291,942 | D | — | Jul 1, 2017 | Common Shares | 291,942 | 0 | D |
Explanation of responses
- F1Price reported is a weighted average price. Shares were sold in multiple transactions at prices ranging from $37.21 to $37.375, 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.
- F2Options became exercisable in equal installments on the first, second, third and fourth anniversary of the grant date.