0001127602-16-064655.txt : 20161011 0001127602-16-064655.hdr.sgml : 20161011 20161011182746 ACCESSION NUMBER: 0001127602-16-064655 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161007 FILED AS OF DATE: 20161011 DATE AS OF CHANGE: 20161011 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: 5757 N. GREEN BAY AVENUE STREET 2: P.O. BOX 591 CITY: MILWAUKEE STATE: WI ZIP: 53201 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: Davis Simon CENTRAL INDEX KEY: 0001609398 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13836 FILM NUMBER: 161932107 MAIL ADDRESS: STREET 1: 5757 N GREEN BAY AVE CITY: MILWAUKEE STATE: WI ZIP: 53209 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-10-07 0000833444 Johnson Controls International plc JCI 0001609398 Davis Simon 5757 N. GREEN BAY AVENUE MILWAUKEE WI 53209 1 VP & Chief Human Resources Ofc Ordinary Shares 2016-10-07 4 A 0 3201 0 A 56948.24 D Ordinary Shares 479.548 I By 401k Plan Trustee Phantom Stock Units - Restricted Stock Plan 0 2016-10-07 4 A 0 3202 0 A Ordinary Shares 3202 40785.51 D Employee Stock Option (Right to Buy) 45.29 2016-10-07 4 A 0 32258 0 A 2018-10-07 2026-10-07 Ordinary Shares 32258 32258 D Reflects grant of restricted stock units that, subject to certain acceleration and forfeiture provisions, vest in three equal installments on each of the first, second and third anniversary of the grant date. Restricted stock units accrue dividend equivalent units and convert to ordinary shares upon vesting. 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. Each phantom stock unit 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. Subject to certain acceleration and forfeiture provisions, fifty percent of the options become exercisable on the second anniversary of the grant date and the remaining fifty percent become exercisable on the third anniversary. /s/ Kevin J. Coen, attorney-in-fact 2016-10-11