Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Johnson Controls International plcJCI · Entity 2940 | Vice President & President, PS | December 06, 2018 | December 10, 2018 |
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 06, 2018 · Filed December 10, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 183,147 |
Ending reported balance
After 2018-12-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-12-06 · Grant · Acquired 19,706 · Balance 185,988 F1: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting. F2: Each restricted share unit is the economic equivalent of one ordinary share of JCI. Row 2 · 2018-12-07 · Tax withholding · Disposed 2,841 · Balance 183,147 |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $33.39 · Expires 2028-12-06 | Direct | 118,345 |
Reported balance
After 2018-12-06 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-12-06 · Grant · Acquired 118,345 · Balance 118,345 F4: 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. |
| Ordinary SharesSEC Table I · non-derivative | IndirectBy 401k Plan Trustee | 4,474 |
Reported balance
Holding disclosure · report date 2018-12-06 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,474 F3: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting.
F2: Each restricted share unit is the economic equivalent of one ordinary share of JCI.
F3: 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.
F4: 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.
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 07, 2016
Section 16 reporting ended · disclosed 2016-09-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectby 401k Plan Trustee | 0 |
Reported balance
After 2016-09-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-09-02 · Disposition to issuer · Disposed 4,419.895 · 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"). |
| Common StockSEC Table I · non-derivative | Direct | 92,332.515 |
Reported balance
After 2016-09-02 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2016-09-02 · Tax withholding · Disposed 495 · Balance 92,332.515 F2: Includes 2,059.74 shares acquired via dividend reinvestment on October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per share. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2016-09-02 · Disposition to issuer · Disposed 92,332.515 · 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"). |
| Common StockSEC Table I · non-derivative | Direct | 136.572 |
Reported balance
After 2016-09-02 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2016-09-02 · Exercise / conversion · Acquired 136.572 · Balance 136.572 |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2016-09-02 · Disposition to issuer · Disposed 136.572 · Balance 0 |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $40.21 · Expires 2017-10-01 | 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 9,600 · Balance 0 F3: 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 $28.79 · Expires 2018-10-01 | 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 12,000 · Balance 0 F3: 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 $24.87 · Expires 2019-10-01 | 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 15,000 · Balance 0 F3: 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 $30.54 · Expires 2020-10-01 | 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 13,200 · Balance 0 F3: 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 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2016-09-02 · Disposition to issuer · Disposed 12,500 · Balance 0 F3: 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 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2016-09-02 · Disposition to issuer · Disposed 16,100 · Balance 0 F3: 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 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2016-09-02 · Disposition to issuer · Disposed 11,428 · Balance 0 F3: 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 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2016-09-02 · Disposition to issuer · Disposed 14,478 · Balance 0 F3: 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. F4: Fifty percent of the stock options vest after two years, and the remaining stock options vest after three years. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $46.31 · Expires 2025-01-05 | 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 8,722 · Balance 0 F3: 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. F4: Fifty percent of the stock options vest after two years, and the remaining stock options vest 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 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2016-09-02 · Disposition to issuer · Disposed 50,038 · Balance 0 F3: 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. F4: Fifty percent of the stock options vest after two years, and the remaining stock options vest after three years. |
| Phantom Stock Units - Restricted Stock PlanSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2016-09-02 · Exercise / conversion · Disposed 136.572 · Balance 0 F5: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock, and the phantom stock units were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger. F6: 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. F7: Includes 43.99 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: Includes 2,059.74 shares acquired via dividend reinvestment on October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $45.03 per share.
F3: 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.
F4: Fifty percent of the stock options vest after two years, and the remaining stock options vest after three years.
F5: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock, and the phantom stock units were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger.
F6: 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.
F7: Includes 43.99 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 02, 2016 Filed Sep 7, 2016 23:28 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 12,000 | Not disclosed Strike: $28.79 | Not disclosed |
DisclosureSEC source: 0001127602-16-062162 · form4.xml · derivative · entry 4 Walicki Joseph A · CIK 0001629558 · Vice President & President, PS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Ordinary Shares · 12,000 shares Expires 2018-10-01 F4 · 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 23:28 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 9,600 | Not disclosed Strike: $40.21 | Not disclosed |
DisclosureSEC source: 0001127602-16-062162 · form4.xml · derivative · entry 3 Walicki Joseph A · CIK 0001629558 · Vice President & President, PS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,600 Underlying: Ordinary Shares · 9,600 shares Expires 2017-10-01 F4 · 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 23:28 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 3,693 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-062162 · form4.xml · nonDerivative · entry 2 Walicki Joseph A · CIK 0001629558 · Vice President & President, PS 10b5-1 filing: Not disclosed Ownership: Indirect · By 401k Plan Trustee Disclosed balance after: 3,693 F3 · shares: 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. F2 · 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 |
| September 02, 2016 Filed Sep 7, 2016 23:28 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 89,151.222 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-062162 · form4.xml · nonDerivative · entry 1 Walicki Joseph A · CIK 0001629558 · Vice President & President, PS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,151.222 F1 · shares: The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in JCI plc in connection with the closing of the merger. F2 · 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 |
| September 02, 2016 Filed Oct 11, 2016 22:29 UTC Amendment | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 89,307.8 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-064657 · form4a.xml · nonDerivative · entry 1 Walicki Joseph A · CIK 0001629558 · Vice President & President, PS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,307.8 F1 · shares: This report on Form 4/A amends the original Form 4 filed by the Reporting Person on September 7, 2016 and is being filed to correct the originally reported acquisition of 89,151.22 ordinary shares in connection with the merger. F2 · 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.