Statement of Changes in Beneficial Ownership (4)
September 15 2017 - 4:42PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Stief Brian J
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2. Issuer Name
and
Ticker or Trading Symbol
Johnson Controls International plc
[
JCI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive VP and CFO
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(Last)
(First)
(Middle)
5757 N. GREEN BAY AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/14/2017
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(Street)
MILWAUKEE, WI 53209
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Share Units
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$0
(1)
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9/14/2017
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A
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299251
(2)
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(3)
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(3)
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Ordinary Shares
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299251
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$40.10
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491842
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D
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Restricted Share Units
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$0
(1)
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9/14/2017
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A
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99750
(4)
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(3)
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(3)
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Ordinary Shares
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99750
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$40.10
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591592
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D
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Explanation of Responses:
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(1)
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Each restricted share unit is the economic equivalent of one ordinary share of JCI plc.
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(2)
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Reflects grant of restricted share units that, subject to certain forfeiture and vesting provisions, will vest on December 7, 2020. In the event the reporting person remains continuously employed through the vesting date, the restricted share units subject to the award will be converted into performance share units if the performance goals established for the award are met at or above target, and they will be paid out in shares based on the level of attainment of such performance goals.
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(3)
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Vested restricted share units will be credited to the reporting person's account under the Company's Deferred Compensation Plan and will be distributed upon the reporting person's termination or retirement pursuant to the terms of such plan.
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(4)
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Reflects grant of restricted share units that, subject to certain forfeiture and vesting provisions, will vest on the third anniversary of the grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Stief Brian J
5757 N. GREEN BAY AVENUE
MILWAUKEE, WI 53209
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Executive VP and CFO
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Signatures
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/s/ Matthew R. A. Heiman, attorney-in-fact
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9/15/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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