Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (2)
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 401(k) 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 26,823.865 · 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 | 0 |
Ending reported balance
After 2016-09-02 transaction · row 10
9 source rows · reconciled sequenceRow 2 · 2016-09-02 · Exercise / conversion · Acquired 94,387.621 · Balance 410,235.338 Row 3 · 2016-09-02 · Exercise / conversion · Acquired 36,932.248 · Balance 447,167.586 Row 4 · 2016-09-02 · Exercise / conversion · Acquired 45,304.543 · Balance 492,472.129 Row 5 · 2016-09-02 · Exercise / conversion · Acquired 13,295.433 · Balance 505,767.562 Row 6 · 2016-09-02 · Disposition to issuer · Disposed 94,387.621 · Balance 411,379.941 Row 7 · 2016-09-02 · Disposition to issuer · Disposed 36,932.248 · Balance 374,447.693 Row 8 · 2016-09-02 · Disposition to issuer · Disposed 45,304.543 · Balance 329,143.15 Row 9 · 2016-09-02 · Disposition to issuer · Disposed 13,295.433 · Balance 315,847.717 Row 10 · 2016-09-02 · Disposition to issuer · Disposed 315,847.717 · Balance 0 F2: Includes 6,448.572 shares acquired via dividend reinvestment on April 4, July 5 and August 19, 2016 at prices ranging from $38.76 to $45.03 per share. F3: 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. 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"). |
| Phantom Stock Units - Annual Incentive PlanSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | 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 · Exercise / conversion · Disposed 94,387.621 · 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 accrued under the Johnson Controls Annual Incentive Plan and settled 100% in cash. F6: Includes 2,486.981 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. |
| Phantom Stock Units - Long Term Incentive PlanSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | 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 · Exercise / conversion · Disposed 36,932.248 · Balance 0 F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F7: The phantom stock units accrued under the Johnson Controls Long-Term Incentive Plan and were settled 100% in cash. F8: Includes 1,243.161 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. |
| Phantom Stock Units - Retirement Restoration PlanSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | 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 16,287.616 · Balance 0 F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F9: The phantom stock units accrue under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's retirement or termination of employment with the company. F10: Includes 1,308.111 units acquired via dividend reinvestment on April 2, July 2, October 2, 2013, January 6, April 2, July 2, October 2, 2014, January 5, April 2, July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $50.92 per unit. |
| Phantom Stock Units - Restricted Stock PlanSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 107,977.888 |
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 · Exercise / conversion · Disposed 45,304.543 · Balance 107,977.888 F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F11: 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 | 94,682.455 |
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 · Exercise / conversion · Disposed 13,295.433 · Balance 94,682.455 F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F11: 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 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2016-09-02 · Disposition to issuer · Disposed 94,682.455 · Balance 0 F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. F11: 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. F12: Includes 4,249.779 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. |
| 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 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2016-09-02 · Disposition to issuer · Disposed 217,604 · Balance 0 F14: 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. F13: 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 $50.23 · Expires 2024-11-18 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2016-09-02 · Disposition to issuer · Disposed 169,924 · Balance 0 F14: 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. F13: 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 $40.21 · Expires 2017-10-01 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2016-09-02 · Disposition to issuer · Disposed 90,000 · Balance 0 F14: 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 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2016-09-02 · Disposition to issuer · Disposed 135,000 · Balance 0 F14: 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 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2016-09-02 · Disposition to issuer · Disposed 125,000 · Balance 0 F14: 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 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2016-09-02 · Disposition to issuer · Disposed 72,900 · Balance 0 F14: 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 $30.73 · Expires 2023-01-23 | Direct | 0 |
Reported balance
After 2016-09-02 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2016-09-02 · Disposition to issuer · Disposed 65,100 · Balance 0 F14: 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 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2016-09-02 · Disposition to issuer · Disposed 153,061 · Balance 0 F14: 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. |
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 6,448.572 shares acquired via dividend reinvestment on April 4, July 5 and August 19, 2016 at prices ranging from $38.76 to $45.03 per share.
F3: 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.
F4: Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock.
F5: The phantom stock units accrued under the Johnson Controls Annual Incentive Plan and settled 100% in cash.
F6: Includes 2,486.981 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.
F7: The phantom stock units accrued under the Johnson Controls Long-Term Incentive Plan and were settled 100% in cash.
F8: Includes 1,243.161 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.
F9: The phantom stock units accrue under the Johnson Controls Retirement Restoration Plan and are to be settled 100% in cash upon the reporting person's retirement or termination of employment with the company.
F10: Includes 1,308.111 units acquired via dividend reinvestment on April 2, July 2, October 2, 2013, January 6, April 2, July 2, October 2, 2014, January 5, April 2, July 2, October 2, 2015, January 5, April 4, July 5 and August 19, 2016 at prices ranging from $38.58 to $50.92 per unit.
F11: 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.
F12: Includes 4,249.779 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.
F13: Fifty percent of the options vest after two years and the remaining 50% vests after three years.
F14: 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.
Johnson Controls International plc
Report date September 01, 2017 · Filed September 15, 2017 · Amendment
Section 16 reporting ended · disclosed 2017-09-15. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 1,293,649.739 |
Reported balance
After 2017-09-01 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-09-01 · Tax withholding · Disposed 9,662 · Balance 1,293,649.739 F1: This report on Form 4/A amends the original Form 4 filed by the Reporting Person on September 6, 2017 and is being filed to correct the originally reported disposition of 12,601 ordinary shares. |
Filing footnotes · ownership attribution and instrument terms
F1: This report on Form 4/A amends the original Form 4 filed by the Reporting Person on September 6, 2017 and is being filed to correct the originally reported disposition of 12,601 ordinary shares.
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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 153,061 | Not disclosed Strike: $48.37 | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · derivative · entry 10 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,061 Underlying: Ordinary Shares · 153,061 shares Expires 2023-11-19 F8 · 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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 65,100 | Not disclosed Strike: $30.73 | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · derivative · entry 9 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,100 Underlying: Ordinary Shares · 65,100 shares Expires 2023-01-23 F8 · 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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 72,900 | Not disclosed Strike: $27.85 | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · derivative · entry 8 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,900 Underlying: Ordinary Shares · 72,900 shares Expires 2022-10-05 F8 · 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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 125,000 | Not disclosed Strike: $28.54 | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · derivative · entry 7 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Ordinary Shares · 125,000 shares Expires 2021-10-07 F8 · 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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 135,000 | Not disclosed Strike: $30.54 | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · derivative · entry 6 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,000 Underlying: Ordinary Shares · 135,000 shares Expires 2020-10-01 F8 · 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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantEmployee Stock Option (Right to Buy) · Derivative | 90,000 | Not disclosed Strike: $40.21 | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · derivative · entry 5 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Ordinary Shares · 90,000 shares Expires 2017-10-01 F8 · 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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantPhantom Stock Units - Retirement Restoration · Derivative | 16,287.616 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · derivative · entry 4 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,287.616 Underlying: Ordinary Shares · 16,287.616 shares Expires not disclosed F3 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one ordinary share of JCI plc. F7 · price: Phantom stock units acquired in connection with the closing of the merger, pursuant to which each phantom stock unit of Johnson Controls (the economic equivalent of one share of Johnson Controls common stock) was converted into a phantom stock unit in JCI plc. F6 · derivative.exercise_date: Phantom stock units accrue under the Johnson Controls Retirement Restoration Plan and settle 100% in cash upon the reporting person's retirement. F6 · derivative.expiration_date: Phantom stock units accrue under the Johnson Controls Retirement Restoration Plan and settle 100% in cash upon the reporting person's retirement. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantPhantom Stock Units - Restricted Stock Plan · Derivative | 94,862.464 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · derivative · entry 3 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,862.464 Underlying: Ordinary Shares · 94,862.464 shares Expires not disclosed F3 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one ordinary share of JCI plc. F5 · 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. F4 · 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. F4 · 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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 22,416 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · nonDerivative · entry 2 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By 401k Plan Trustee Disclosed balance after: 22,416 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 22:21 UTC | Johnson Controls International plc JCI · Entity 2940 | GrantOrdinary Shares | 315,847.719 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-062140 · form4.xml · nonDerivative · entry 1 Molinaroli Alex A · CIK 0001292960 · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 315,847.719 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.