4//SEC Filing
Johnson Controls International plc 4
Accession 0001127602-16-062154
$JCICIK 0000833444operating
Filed
Sep 6, 8:00 PM ET
Accepted
Sep 7, 7:01 PM ET
Size
19.0 KB
Accession
0001127602-16-062154
Insider Transaction Report
Form 4
Nevill Trent M
VP & President, Asia Pacific
Transactions
- Award
Ordinary Shares
2016-09-02+6,654→ 6,654 total(indirect: By Trust) - Award
Employee Stock Option (Right to Buy)
2016-09-02+11,406→ 11,406 totalExercise: $43.86From: 2017-10-07Exp: 2025-10-07→ Ordinary Shares (11,406 underlying) - Award
Employee Stock Option (Right to Buy)
2016-09-02+4,427→ 4,427 totalExercise: $37.66From: 2017-10-07Exp: 2026-03-15→ Ordinary Shares (4,427 underlying) - Award
Ordinary Shares
2016-09-02+10,656.32→ 10,656.32 total - Award
Phantom Stock Units - Restricted Stock Plan
2016-09-02+13,922.44→ 13,922.44 totalExercise: $0.00→ Ordinary Shares (13,922.44 underlying) - Award
Employee Stock Option (Right to Buy)
2016-09-02+6,450→ 6,450 totalExercise: $27.85From: 2014-10-05Exp: 2022-10-05→ Ordinary Shares (6,450 underlying) - Award
Employee Stock Option (Right to Buy)
2016-09-02+9,652→ 9,652 totalExercise: $50.23From: 2016-11-18Exp: 2024-11-18→ Ordinary Shares (9,652 underlying)
Footnotes (8)
- [F1]The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger.
- [F2]Shares acquired in connection with the closing of the merger between Johnson Controls, Inc. ("Johnson Controls") and Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") (the "merger"), pursuant to which each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash.
- [F3]The 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. The balance reflected in this report is based on an August 26, 2016 price of $43.89 per share, which is the most recent information available for the plan.
- [F4]Each unit of phantom stock is the economic equivalent of one ordinary share of JCI plc.
- [F5]Phantom stock units accrue under the Johnson Controls Restricted Stock Plan and settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements.
- [F6]Restricted stock units acquired in connection with the closing of the merger, pursuant to which each restricted stock unit of Johnson Controls (the economic equivalent of one share of Johnson Controls common stock) was converted into a restricted stock unit in JCI plc.
- [F7]Options acquired in connection with the closing of the merger, pursuant to which Johnson Controls options were converted into an equivalent number of options with respect to JCI plc at the same exercise price.
- [F8]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
Documents
Issuer
Johnson Controls International plc
CIK 0000833444
Entity typeoperating
IncorporatedIreland
Related Parties
1- filerCIK 0000833444
Filing Metadata
- Form type
- 4
- Filed
- Sep 6, 8:00 PM ET
- Accepted
- Sep 7, 7:01 PM ET
- Size
- 19.0 KB