Accession Number: | 0001127602-19-017757 |
Date: | 2019-05-07 |
Issuer: | JOHNSON CONTROLS INTERNATIONAL PLC (JCI) |
Original Submission Date: |
STIEF BRIAN J
5757 N. GREEN BAY AVENUE
MILWAUKEE, WI 53209
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
ORDINARY SHARES | 2019-05-07 | M | 37,986 | a | $28.14 | 154,860 | direct | ||
ORDINARY SHARES | 2019-05-07 | M | 37,443 | a | $26.30 | 192,303 | direct | ||
ORDINARY SHARES | 2019-05-07 | M | 23,334 | a | $25.67 | 215,637 | direct | ||
ORDINARY SHARES | 2019-05-07 | S | 98,763 | d | $39.08 | 116,874 | direct | ||
ORDINARY SHARES | 2019-05-07 | S | 27,395 | d | $39.11 | 89,479 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 28.14 | 2019-05-07 | deemed execution date | M | 37,986 (d) | 2012-10-01 | 2020-10-01 | ordinary shares 37,986 | $28.14 | 0 | direct | |
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 26.3 | 2019-05-07 | deemed execution date | M | 37,443 (d) | 2013-10-07 | 2021-10-07 | ordinary shares 37,443 | $26.30 | 0 | direct | |
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | 25.67 | 2019-05-07 | deemed execution date | M | 23,334 (d) | 2014-10-05 | 2022-10-05 | ordinary shares 23,334 | $25.67 | 0 | direct | |
DEFERRED COMPENSATION | 0.0 | 2019-05-07 | deemed execution date | I | 148,039 (d) | phantom stock units - deferred compensation 148,039 | $0.00 | 0 | direct |
ID | footnote |
---|---|
f1 | the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $39.05 to $39.13 inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 1 of this form 4. |
f2 | the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $38.96 to $39.27 inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 2 of this form 4. |
f3 | the reporting person elected to diversify their holdings in the share unit account under the johnson controls international plc senior executive deferred compensation plan into other investment options available under the plan. |
f4 | phantom stock units settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements. |