Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Johnson Controls International plcJCI · Entity 2940 | VP, Controller & CAO | November 20, 2017 | November 21, 2017 |
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 November 20, 2017 · Filed November 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 42,548 |
Reported balance
After 2017-11-20 transaction · row 1
1 source rowRow 1 · 2017-11-20 · Tax withholding · Disposed 492 · Balance 42,548 |
| Ordinary SharesSEC Table I · non-derivative | IndirectBy 401k Plan Trustee | 489 |
Reported balance
Holding disclosure · report date 2017-11-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 489 F1: 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: 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.
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 |
Reported balance
After 2016-09-02 transaction · row 1
1 source rowRow 1 · 2016-09-02 · Disposition to issuer · Disposed 10,698.468 · Balance 0 F1: The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") in connection with the closing of the merger between Johnson Controls, Inc. ("Johnson Controls") and JCI plc (the "merger"). F2: Includes 308.483 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: Each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash in connection with the closing of the merger. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan Trust | 0 |
Reported balance
After 2016-09-02 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2016-09-02 · Disposition to issuer · Disposed 498.074 · Balance 0 F3: Each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash 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 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-09-02 · Disposition to issuer · Disposed 10,200 · Balance 0 F4: 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 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2016-09-02 · Disposition to issuer · Disposed 3,989 · Balance 0 F4: 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. F5: Fifty percent of the options become exercisable two years after grant date; the remaining 50%, three years after grant date. |
| 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 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-09-02 · Disposition to issuer · Disposed 5,703 · Balance 0 F4: 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. F5: Fifty percent of the options become exercisable two years after grant date; the remaining 50%, three years after grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") in connection with the closing of the merger between Johnson Controls, Inc. ("Johnson Controls") and JCI plc (the "merger").
F2: Includes 308.483 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: Each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash in connection with the closing of the merger.
F4: 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.
F5: Fifty percent of the options become exercisable two years after grant date; the remaining 50%, three years after grant date.
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 |
|---|---|---|---|---|---|---|
| November 20, 2017 Filed Nov 21, 2017 21:57 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 492 | $36.39 | $17,903.88 |
DisclosureSEC source: 0001127602-17-033028 · form4.xml · nonDerivative · entry 1 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,548 Read SEC document |
| October 07, 2017 Filed Oct 11, 2017 21:16 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 320 | $41.07 | $13,142.40 |
DisclosureSEC source: 0001127602-17-029726 · form4.xml · nonDerivative · entry 1 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,789 Read SEC document |
| November 21, 2016 Filed Nov 22, 2016 21:32 UTC | Johnson Controls International plc JCI · Entity 2940 | Tax withholdingOrdinary Shares | 779 | $44.71 | $34,829.09 |
DisclosureSEC source: 0001127602-16-068127 · form4.xml · nonDerivative · entry 2 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,361.096 Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 21:32 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 5,632.096 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-068127 · form4.xml · nonDerivative · entry 1 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,140.096 F1 · shares: Reflects the number of ordinary shares underlying previously unreported performance share units that were converted into time-based restricted share units based on performance results through the end of fiscal year 2016, and as approved by the Compensation Committee on November 18, 2016. The resulting time-based restricted share units remain subject to certain forfeiture and accelerated vesting provisions. Read SEC document |
| October 07, 2016 Filed Oct 11, 2016 22:22 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 11,095 | $0.00 Strike: $45.29 | $0.00 |
DisclosureSEC source: 0001127602-16-064651 · form4.xml · derivative · entry 3 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,095 Underlying: Ordinary Shares · 11,095 shares Expires 2026-10-07 F3 · derivative.exercise_date: 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. Read SEC document |
| October 07, 2016 Filed Oct 11, 2016 22:22 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 2,202 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-064651 · form4.xml · nonDerivative · entry 1 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,230.18 F1 · shares: 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. Read SEC document |
| October 07, 2016 Filed Oct 26, 2016 21:04 UTC Amendment | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 12,875 | $0.00 Strike: $45.29 | $0.00 |
DisclosureSEC source: 0001127602-16-065296 · form4a.xml · derivative · entry 2 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,875 Underlying: Ordinary Shares · 12,875 shares Expires 2026-10-07 F2 · shares: This report on Form 4/A amends the original Form 4 filed by the Reporting Person on October 11, 2016 and is being filed to correct the originally reported acquisition of 11,095 employee stock options granted on October 7, 2016. F3 · derivative.exercise_date: 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. Read SEC document |
| October 07, 2016 Filed Oct 26, 2016 21:04 UTC Amendment | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 2,555 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-065296 · form4a.xml · nonDerivative · entry 1 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,583.18 F1 · shares: This report on Form 4/A amends the original Form 4 filed by the Reporting Person on October 11, 2016 and is being filed to correct the originally reported acquisition of 2,202 ordinary shares underlying restricted share units granted on October 7, 2016. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 22:18 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 20,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-062422 · form4.xml · nonDerivative · entry 2 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,028.18 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 22:18 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 485 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-062422 · form4.xml · nonDerivative · entry 1 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,134.18 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 02, 2016 Filed Sep 6, 2016 19:57 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 5,703 | Not disclosed Strike: $43.86 | Not disclosed |
DisclosureSEC source: 0001127602-16-061988 · form4.xml · derivative · entry 5 Vincent Suzanne M · CIK 0001620748 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,703 shares Expires 2025-10-07 F4 · 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. F5 · derivative.exercise_date: Fifty percent of the options become exercisable two years after grant date; the remaining 50%, three years after grant date. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:57 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 3,989 | Not disclosed Strike: $50.23 | Not disclosed |
DisclosureSEC source: 0001127602-16-061988 · form4.xml · derivative · entry 4 Vincent Suzanne M · CIK 0001620748 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,989 shares Expires 2024-11-18 F4 · 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. F5 · derivative.exercise_date: Fifty percent of the options become exercisable two years after grant date; the remaining 50%, three years after grant date. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:57 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 10,200 | Not disclosed Strike: $27.85 | Not disclosed |
DisclosureSEC source: 0001127602-16-061988 · form4.xml · derivative · entry 3 Vincent Suzanne M · CIK 0001620748 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,200 shares Expires 2022-10-05 F4 · 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 19:57 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerCommon Stock | 498.074 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-061988 · form4.xml · nonDerivative · entry 2 Vincent Suzanne M · CIK 0001620748 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Trust Disclosed balance after: 0 F3 · price: Each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash in connection with the closing of the merger. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 19:57 UTC | JOHNSON CONTROLS INC JCI · Entity 182555 | Disposition to issuerCommon Stock | 10,698.468 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-061988 · form4.xml · nonDerivative · entry 1 Vincent Suzanne M · CIK 0001620748 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: The balance includes unvested restricted stock units and dividend equivalents that were converted into an equivalent number of restricted stock units in Johnson Controls International plc (formerly Tyco International plc) ("JCI plc") in connection with the closing of the merger between Johnson Controls, Inc. ("Johnson Controls") and JCI plc (the "merger"). F2 · shares: Includes 308.483 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 · price: Each share of Johnson Controls was converted into 0.8357 ordinary shares of JCI plc and $5.7293 in cash in connection with the closing of the merger. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 23:17 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 5,703 | Not disclosed Strike: $43.86 | Not disclosed |
DisclosureSEC source: 0001127602-16-062160 · form4.xml · derivative · entry 5 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,703 Underlying: Ordinary Shares · 5,703 shares Expires 2025-10-07 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. F5 · 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 23:17 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 3,989 | Not disclosed Strike: $50.23 | Not disclosed |
DisclosureSEC source: 0001127602-16-062160 · form4.xml · derivative · entry 4 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,989 Underlying: Ordinary Shares · 3,989 shares Expires 2024-11-18 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. F5 · 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 23:17 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 10,200 | Not disclosed Strike: $27.85 | Not disclosed |
DisclosureSEC source: 0001127602-16-062160 · form4.xml · derivative · entry 3 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,200 Underlying: Ordinary Shares · 10,200 shares Expires 2022-10-05 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 23:17 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 416 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-062160 · form4.xml · nonDerivative · entry 2 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Indirect · By 401k Plan Trustee Disclosed balance after: 416 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 23:17 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 10,649.18 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-062160 · form4.xml · nonDerivative · entry 1 Vincent Suzanne M · CIK 0001620748 · VP, Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,649.18 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.