Statement of Changes in Beneficial Ownership (4)
03 Dezember 2019 - 10:36PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Oliver George |
2. Issuer Name and Ticker or Trading Symbol
Johnson Controls International plc
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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)
Chairman & CEO |
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(Last)
(First)
(Middle)
5757 N. GREEN BAY AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/2/2019 |
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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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| Ordinary Shares | 12/2/2019 | | M(1) | | 13877 | A | $17.79 | 889697.04 | D | |
| Ordinary Shares | 12/2/2019 | | M(1) | | 11675 | A | $21.14 | 901372.04 | D | |
| Ordinary Shares | 12/2/2019 | | S(1) | | 21863 | D | $42.59 (2) | 879509.04 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (Right to Buy) | $17.79 | 12/2/2019 | | M (1) | | | 13877 | (3) | 10/11/2020 | Ordinary Shares | 13877 | $0 | 124892 | D | |
| Employee Stock Option (Right to Buy) | $21.14 | 12/2/2019 | | M (1) | | | 11675 | (3) | 10/11/2021 | Ordinary Shares | 11675 | $0 | 105072 | D | |
| Explanation of Responses: |
| (1) | Transaction effected pursuant to a Rule 10b5-1 trading plan. |
| (2) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42.41 to $42.83 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 purchased at each separate price within the range set forth in footnote 2 of this Form 4. |
| (3) | Subject to acceleration upon certain events, options become exercisable in four equal installments on each of the first, second, third and fourth anniversary of the grant date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Oliver George
5757 N. GREEN BAY AVENUE
MILWAUKEE, WI 53209 |
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| Chairman & CEO |
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Signatures
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| /s/ Michael R. Peterson, attorney-in-fact | | 12/3/2019 |
| **Signature of Reporting Person | Date |
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