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