0001127602-16-062135.txt : 20160907 0001127602-16-062135.hdr.sgml : 20160907 20160907175724 ACCESSION NUMBER: 0001127602-16-062135 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160902 FILED AS OF DATE: 20160907 DATE AS OF CHANGE: 20160907 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Johnson Controls International plc CENTRAL INDEX KEY: 0000833444 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISCELLANEOUS BUSINESS SERVICES [7380] IRS NUMBER: 000000000 STATE OF INCORPORATION: L2 FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: ONE ALBERT QUAY STREET 2: ALBERT QUAY CITY: CORK STATE: L2 ZIP: 00000 BUSINESS PHONE: 609-720-4200 MAIL ADDRESS: STREET 1: C/O TYCO INTERNATIONAL MANAGEMENT LLC STREET 2: 9 ROSZEL ROAD CITY: PRINCETON STATE: NJ ZIP: 08540 FORMER COMPANY: FORMER CONFORMED NAME: TYCO INTERNATIONAL plc DATE OF NAME CHANGE: 20141117 FORMER COMPANY: FORMER CONFORMED NAME: TYCO INTERNATIONAL LTD DATE OF NAME CHANGE: 20100408 FORMER COMPANY: FORMER CONFORMED NAME: TYCO INTERNATIONAL LTD /BER/ DATE OF NAME CHANGE: 19970715 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McDonald R Bruce CENTRAL INDEX KEY: 0001207696 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13836 FILM NUMBER: 161874370 MAIL ADDRESS: STREET 1: JOHNSON CONTROLS INC STREET 2: 5757 N GREEN BAY AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53209 FORMER NAME: FORMER CONFORMED NAME: MCDONALD R BRUCE DATE OF NAME CHANGE: 20021126 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-09-02 0000833444 Johnson Controls International plc JCI 0001207696 McDonald R Bruce 5757 N. GREEN BAY AVENUE MILWAUKEE WI 53209 1 Executive VP and Vice Chairman Ordinary Shares 2016-09-02 4 A 0 15012 A 15012 I By 401k Plan Trustee Phantom Stock Units - Restricted Stock Plan 0 2016-09-02 4 A 0 235430.79 A Ordinary Shares 235430.79 235430.79 D Employee Stock Option (Right to Buy) 40.21 2016-09-02 4 A 0 47248 A 2009-10-01 2017-10-01 Ordinary Shares 47248 47248 D Employee Stock Option (Right to Buy) 28.79 2016-09-02 4 A 0 160000 A 2010-10-01 2018-10-01 Ordinary Shares 160000 160000 D Employee Stock Option (Right to Buy) 24.87 2016-09-02 4 A 0 170000 A 2011-10-01 2019-10-01 Ordinary Shares 170000 170000 D Employee Stock Option (Right to Buy) 30.54 2016-09-02 4 A 0 150000 A 2012-10-01 2020-10-01 Ordinary Shares 150000 150000 D Employee Stock Option (Right to Buy) 28.54 2016-09-02 4 A 0 140000 A 2013-10-07 2021-10-07 Ordinary Shares 140000 140000 D Employee Stock Option (Right to Buy) 27.85 2016-09-02 4 A 0 74800 A 2014-10-05 2022-10-05 Ordinary Shares 74800 74800 D Employee Stock Option (Right to Buy) 48.37 2016-09-02 4 A 0 49319 A 2015-11-19 2023-11-19 Ordinary Shares 49319 49319 D Employee Stock Option (Right to Buy) 50.23 2016-09-02 4 A 0 80437 A 2016-11-18 2024-11-18 Ordinary Shares 80437 80437 D Employee Stock Option (Right to Buy) 43.86 2016-09-02 4 A 0 104562 A 2017-10-07 2025-10-07 Ordinary Shares 104562 104562 D 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. 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. Each unit of phantom stock is the economic equivalent of one ordinary share of JCI plc. 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. 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. 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. Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. /s/ Catherine M. Walker, attorney-in-fact for R. Bruce McDonald 2016-09-07