Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Johnson Controls International plcJCI · Entity 2940 | Vice Chairman | December 08, 2020 | December 10, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Johnson Controls International plc
Report date December 08, 2020 · Filed December 10, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 18,103.33 |
Ending reported balance
After 2020-12-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-12-08 · Sale · Disposed 6,655 · Balance 48,066.33 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $45.36 to $45.46, inclusive, pursuant to a 10b5-1 plan. The reporting person undertakes to provide to the issuer, any securityholder 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. Row 2 · 2020-12-09 · Sale · Disposed 29,963 · Balance 18,103.33 F2: Transaction effected pursuant to a Rule 10b5-1 trading plan. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2020-12-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-12-08 · Other · Disposed 559,146.21 · Balance 0 F3: Vested performance share units were credited to the reporting person's account under the Company's Deferred Compensation Plan and will be distributed upon the reporting person's termination or retirement pursuant to the terms of such plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $45.36 to $45.46, inclusive, pursuant to a 10b5-1 plan. The reporting person undertakes to provide to the issuer, any securityholder 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: Transaction effected pursuant to a Rule 10b5-1 trading plan.
F3: Vested performance share units were credited to the reporting person's account under the Company's Deferred Compensation Plan and will be distributed upon the reporting person's termination or retirement pursuant to the terms of such plan.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
JOHNSON CONTROLS INC
Report date September 02, 2016 · Filed September 06, 2016
Section 16 reporting ended · disclosed 2016-09-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2016-09-02 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2016-09-02 · Disposition to issuer · Disposed 15,740 · Balance 0 F1: Each share of Johnson Controls, Inc. ("Johnson Controls") was converted into 0.8357 ordinary shares of Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") and $5.7293 in cash in connection with the closing of the merger between Johnson Controls and JCI plc (the "merger"). Row 2 · 2016-09-02 · Exercise / conversion · Acquired 3,939.079 · Balance 3,939.079 Row 3 · 2016-09-02 · Disposition to issuer · Disposed 3,939.079 · Balance 0 Row 4 · 2016-09-02 · Exercise / conversion · Acquired 102,093.583 · Balance 102,093.583 Row 5 · 2016-09-02 · Disposition to issuer · Disposed 102,093.583 · Balance 0 |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.54 · Expires 2020-10-01 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2016-09-02 · Disposition to issuer · Disposed 35,000 · Balance 0 F2: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.54 · Expires 2021-10-07 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2016-09-02 · Disposition to issuer · Disposed 34,500 · Balance 0 F2: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.85 · Expires 2022-10-05 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2016-09-02 · Disposition to issuer · Disposed 21,500 · Balance 0 F2: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $48.37 · Expires 2023-11-19 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2016-09-02 · Disposition to issuer · Disposed 14,353 · Balance 0 F2: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $50.23 · Expires 2024-11-18 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2016-09-02 · Disposition to issuer · Disposed 32,175 · Balance 0 F2: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. F3: Fifty percent of the options vest after two years and the remaining 50% vests after three years. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $43.86 · Expires 2025-10-07 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2016-09-02 · Disposition to issuer · Disposed 45,627 · Balance 0 F2: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. F3: Fifty percent of the options vest after two years and the remaining 50% vests after three years. |
| Phantom Stock Units - Restricted Stock PlanSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 173,509.301 |
Reported balance
After 2016-09-02 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2016-09-02 · Exercise / conversion · Disposed 3,939.079 · Balance 173,509.301 F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F5: The 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. |
| Phantom Stock Units - Restricted Stock PlanSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 71,415.718 |
Reported balance
After 2016-09-02 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2016-09-02 · Exercise / conversion · Disposed 102,093.583 · Balance 71,415.718 F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F5: The 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. |
| Phantom Stock Units - Restricted Stock PlanSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2016-09-02 · Disposition to issuer · Disposed 71,415.718 · Balance 0 F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F5: The 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. F6: Includes 4,919.78 units acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per unit. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Johnson Controls, Inc. ("Johnson Controls") was converted into 0.8357 ordinary shares of Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") and $5.7293 in cash in connection with the closing of the merger between Johnson Controls and JCI plc (the "merger").
F2: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger.
F3: Fifty percent of the options vest after two years and the remaining 50% vests after three years.
F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
F5: The 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.
F6: Includes 4,919.78 units acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per unit.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 08, 2016 Filed Sep 12, 2016 22:07 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantPhantom Stock Units - Restricted Stock Plan · Derivative | 26,118 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-062410 · form4.xml · derivative · entry 4 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,513.72 Underlying: Ordinary Shares · 26,118 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one ordinary share of JCI plc. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 22:07 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantPhantom Stock Units - Restricted Stock Plan · Derivative | 17,980 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-062410 · form4.xml · derivative · entry 3 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,395.72 Underlying: Ordinary Shares · 17,980 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one ordinary share of JCI plc. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 22:07 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 26,117 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-062410 · form4.xml · nonDerivative · entry 2 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,250 F1 · shares: Reflects grant of restricted stock units. Restricted stock units accrue dividend equivalent units and convert to ordinary shares upon vesting. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 22:07 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 17,980 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-062410 · form4.xml · nonDerivative · entry 1 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,133 F1 · shares: Reflects grant of restricted stock units. Restricted stock units accrue dividend equivalent units and convert to ordinary shares upon vesting. Read SEC document |
| September 08, 2016 Filed Sep 23, 2016 21:11 UTC Amendment | Johnson Controls International plc JCI · Entity 2940 | GrantPhantom Stock Units - Restricted Stock Plan · Derivative | 18,285 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-063129 · form4a.xml · derivative · entry 2 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,700.72 Underlying: Ordinary Shares · 18,285 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one ordinary share of JCI plc. F1 · shares: This report on Form 4/A amends the original Form 4 filed by the Reporting Person on September 12, 2016 and is being filed to correct the originally reported acquisition of 17,980 ordinary shares underlying restricted share units granted on September 8, 2012 and the acquisition of 17,980 phantom stock units also on September 8, 2016. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 08, 2016 Filed Sep 23, 2016 21:11 UTC Amendment | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 18,286 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-063129 · form4a.xml · nonDerivative · entry 1 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,439 F1 · shares: This report on Form 4/A amends the original Form 4 filed by the Reporting Person on September 12, 2016 and is being filed to correct the originally reported acquisition of 17,980 ordinary shares underlying restricted share units granted on September 8, 2012 and the acquisition of 17,980 phantom stock units also on September 8, 2016. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerPhantom Stock Units - Restricted Stock Plan · Derivative | 71,415.718 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 14 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 71,415.718 shares Expires not disclosed F4 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F5 · derivative.exercise_date: The 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. F5 · derivative.expiration_date: The 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. F6 · derivative.underlying_shares: Includes 4,919.78 units acquired via dividend reinvestment on January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per unit. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Exercise / conversionPhantom Stock Units - Restricted Stock Plan · Derivative | 102,093.583 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 13 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,415.718 Underlying: Common Stock · 102,093.583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F5 · derivative.exercise_date: The 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. F5 · derivative.expiration_date: The 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. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Exercise / conversionPhantom Stock Units - Restricted Stock Plan · Derivative | 3,939.079 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 12 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,509.301 Underlying: Common Stock · 3,939.079 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F5 · derivative.exercise_date: The 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. F5 · derivative.expiration_date: The 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. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 45,627 | Not disclosed Strike: $43.86 | Not disclosed |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 11 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,627 shares Expires 2025-10-07 F2 · price: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. F3 · derivative.exercise_date: Fifty percent of the options vest after two years and the remaining 50% vests after three years. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 32,175 | Not disclosed Strike: $50.23 | Not disclosed |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 10 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 32,175 shares Expires 2024-11-18 F2 · price: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. F3 · derivative.exercise_date: Fifty percent of the options vest after two years and the remaining 50% vests after three years. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 14,353 | Not disclosed Strike: $48.37 | Not disclosed |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 9 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,353 shares Expires 2023-11-19 F2 · price: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 21,500 | Not disclosed Strike: $27.85 | Not disclosed |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 8 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,500 shares Expires 2022-10-05 F2 · price: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 34,500 | Not disclosed Strike: $28.54 | Not disclosed |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 7 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,500 shares Expires 2021-10-07 F2 · price: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 35,000 | Not disclosed Strike: $30.54 | Not disclosed |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · derivative · entry 6 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,000 shares Expires 2020-10-01 F2 · price: The options were converted into an equivalent number of options with respect to JCI plc at the same exercise price in connection with the closing of the merger. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerCommon Stock | 102,093.583 | $48.90 | $4,992,376.21 |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · nonDerivative · entry 5 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Exercise / conversionCommon Stock | 102,093.583 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · nonDerivative · entry 4 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,093.583 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerCommon Stock | 3,939.079 | $48.90 | $192,620.96 |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · nonDerivative · entry 3 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Exercise / conversionCommon Stock | 3,939.079 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · nonDerivative · entry 2 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,939.079 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:26 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerCommon Stock | 15,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-061973 · form4.xml · nonDerivative · entry 1 Stief Brian J · CIK 0001494478 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Each share of Johnson Controls, Inc. ("Johnson Controls") was converted into 0.8357 ordinary shares of Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") and $5.7293 in cash in connection with the closing of the merger between Johnson Controls and JCI plc (the "merger"). Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:09 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 45,627 | Not disclosed Strike: $43.86 | Not disclosed |
DisclosureSEC source: 0001127602-16-062158 · form4.xml · derivative · entry 8 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,627 Underlying: Ordinary Shares · 45,627 shares Expires 2025-10-07 F5 · price: 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. F6 · derivative.exercise_date: Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:09 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 32,175 | Not disclosed Strike: $50.23 | Not disclosed |
DisclosureSEC source: 0001127602-16-062158 · form4.xml · derivative · entry 7 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,175 Underlying: Ordinary Shares · 32,175 shares Expires 2024-11-18 F5 · price: 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. F6 · derivative.exercise_date: Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:09 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 14,353 | Not disclosed Strike: $48.37 | Not disclosed |
DisclosureSEC source: 0001127602-16-062158 · form4.xml · derivative · entry 6 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,353 Underlying: Ordinary Shares · 14,353 shares Expires 2023-11-19 F5 · price: 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. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:09 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 21,500 | Not disclosed Strike: $27.85 | Not disclosed |
DisclosureSEC source: 0001127602-16-062158 · form4.xml · derivative · entry 5 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,500 Underlying: Ordinary Shares · 21,500 shares Expires 2022-10-05 F5 · price: 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. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:09 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 34,500 | Not disclosed Strike: $28.54 | Not disclosed |
DisclosureSEC source: 0001127602-16-062158 · form4.xml · derivative · entry 4 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,500 Underlying: Ordinary Shares · 34,500 shares Expires 2021-10-07 F5 · price: 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. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:09 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $30.54 | $0.00 |
DisclosureSEC source: 0001127602-16-062158 · form4.xml · derivative · entry 3 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Ordinary Shares · 35,000 shares Expires 2020-10-01 F5 · price: 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. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:09 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantPhantom Stock Units - Restricted Stock Plan · Derivative | 71,415.72 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-16-062158 · form4.xml · derivative · entry 2 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,415.72 Underlying: Ordinary Shares · 71,415.72 shares Expires not disclosed F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one ordinary share of JCI plc. F4 · price: 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. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:09 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 13,153 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-062158 · form4.xml · nonDerivative · entry 1 Stief Brian J · CIK 0001494478 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,153 F1 · price: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.