Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-19-017757
Date:2019-05-07
Issuer: JOHNSON CONTROLS INTERNATIONAL PLC (JCI)
Original Submission Date:

Reporting Person:

STIEF BRIAN J
5757 N. GREEN BAY AVENUE
MILWAUKEE, WI 53209

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
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