Jackson William C

SEC source: 0001193125-26-374927 · ownership.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,776

F1 · shares: The Reporting Person received 1,776 shares of Class A Common Stock as a one-time award for service as a non-employee director for the fiscal year ending December 31, 2026, valued at $50,000, based on the closing price per share of $28.14 on August 27, 2026, the date of the award.

F1 · price: The Reporting Person received 1,776 shares of Class A Common Stock as a one-time award for service as a non-employee director for the fiscal year ending December 31, 2026, valued at $50,000, based on the closing price per share of $28.14 on August 27, 2026, the date of the award.

SEC source: 0001193125-26-259777 · ownership.xml · derivative · entry 2

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 132,778

Underlying: Class A Common Stock · 1,849 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.exercise_price: (Continued from footnote 1). Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F3 · shares: Represents the direct exchange for cash of 454 Opco LLC Interests directly held and 1,849 Opco LLC Interests indirectly held by the Reporting Person (and the cancellation of an equal number of shares of Class B common stock of the Issuer held by the Reporting Person) as a result of the full exercise of the underwriters' option to purchase additional shares of Class A common stock in connection with the public offering of Class A common stock by affiliates of American Securities LLC and the Issuer pursuant to the prospectus dated May 28, 2026, and accompanying registration statement on Form S-1 (File No. 333-296238), of the Issuer (the "Follow-On Offering").

F4 · price: Represents a price per Opco LLC Interest equal to the public offering price in the Follow-On Offering of $36.00 per share of Class A common stock, net of underwriting discounts and commissions.

F1 · derivative.exercise_date: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.exercise_date: (Continued from footnote 1). Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F1 · derivative.expiration_date: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.expiration_date: (Continued from footnote 1). Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F3 · derivative.underlying_shares: Represents the direct exchange for cash of 454 Opco LLC Interests directly held and 1,849 Opco LLC Interests indirectly held by the Reporting Person (and the cancellation of an equal number of shares of Class B common stock of the Issuer held by the Reporting Person) as a result of the full exercise of the underwriters' option to purchase additional shares of Class A common stock in connection with the public offering of Class A common stock by affiliates of American Securities LLC and the Issuer pursuant to the prospectus dated May 28, 2026, and accompanying registration statement on Form S-1 (File No. 333-296238), of the Issuer (the "Follow-On Offering").

SEC source: 0001193125-26-259777 · ownership.xml · derivative · entry 1

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,604

Underlying: Class A Common Stock · 454 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.exercise_price: (Continued from footnote 1). Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F3 · shares: Represents the direct exchange for cash of 454 Opco LLC Interests directly held and 1,849 Opco LLC Interests indirectly held by the Reporting Person (and the cancellation of an equal number of shares of Class B common stock of the Issuer held by the Reporting Person) as a result of the full exercise of the underwriters' option to purchase additional shares of Class A common stock in connection with the public offering of Class A common stock by affiliates of American Securities LLC and the Issuer pursuant to the prospectus dated May 28, 2026, and accompanying registration statement on Form S-1 (File No. 333-296238), of the Issuer (the "Follow-On Offering").

F4 · price: Represents a price per Opco LLC Interest equal to the public offering price in the Follow-On Offering of $36.00 per share of Class A common stock, net of underwriting discounts and commissions.

F1 · derivative.exercise_date: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.exercise_date: (Continued from footnote 1). Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F1 · derivative.expiration_date: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.expiration_date: (Continued from footnote 1). Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F3 · derivative.underlying_shares: Represents the direct exchange for cash of 454 Opco LLC Interests directly held and 1,849 Opco LLC Interests indirectly held by the Reporting Person (and the cancellation of an equal number of shares of Class B common stock of the Issuer held by the Reporting Person) as a result of the full exercise of the underwriters' option to purchase additional shares of Class A common stock in connection with the public offering of Class A common stock by affiliates of American Securities LLC and the Issuer pursuant to the prospectus dated May 28, 2026, and accompanying registration statement on Form S-1 (File No. 333-296238), of the Issuer (the "Follow-On Offering").

SEC source: 0001193125-26-255830 · ownership.xml · derivative · entry 2

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 134,627

Underlying: Class A Common Stock · 12,327 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.exercise_price: (Continued from footnote 1) Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F3 · shares: Represents the direct exchange for cash of 3,027 Opco LLC Interests directly held and 12,327 Opco LLC Interests indirectly held by the Reporting Person (and the cancellation of an equal number of shares of Class B common stock of the Issuer held by the Reporting Person) in connection with the public offering of Class A common stock by affiliates of American Securities LLC and the Issuer pursuant to the prospectus dated May 28, 2026, and accompanying registration statement on Form S-1 (File No. 333-296238), of the Issuer (the "Follow-On Offering").

F4 · price: Represents a price per Opco LLC Interest equal to the public offering price in the Follow-On Offering of $36.00 per share of Class A common stock, net of underwriting discounts and commissions.

F1 · derivative.exercise_date: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.exercise_date: (Continued from footnote 1) Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F1 · derivative.expiration_date: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.expiration_date: (Continued from footnote 1) Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F3 · derivative.underlying_shares: Represents the direct exchange for cash of 3,027 Opco LLC Interests directly held and 12,327 Opco LLC Interests indirectly held by the Reporting Person (and the cancellation of an equal number of shares of Class B common stock of the Issuer held by the Reporting Person) in connection with the public offering of Class A common stock by affiliates of American Securities LLC and the Issuer pursuant to the prospectus dated May 28, 2026, and accompanying registration statement on Form S-1 (File No. 333-296238), of the Issuer (the "Follow-On Offering").

SEC source: 0001193125-26-255830 · ownership.xml · derivative · entry 1

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,058

Underlying: Class A Common Stock · 3,027 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.exercise_price: (Continued from footnote 1) Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F3 · shares: Represents the direct exchange for cash of 3,027 Opco LLC Interests directly held and 12,327 Opco LLC Interests indirectly held by the Reporting Person (and the cancellation of an equal number of shares of Class B common stock of the Issuer held by the Reporting Person) in connection with the public offering of Class A common stock by affiliates of American Securities LLC and the Issuer pursuant to the prospectus dated May 28, 2026, and accompanying registration statement on Form S-1 (File No. 333-296238), of the Issuer (the "Follow-On Offering").

F4 · price: Represents a price per Opco LLC Interest equal to the public offering price in the Follow-On Offering of $36.00 per share of Class A common stock, net of underwriting discounts and commissions.

F1 · derivative.exercise_date: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.exercise_date: (Continued from footnote 1) Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F1 · derivative.expiration_date: Pursuant to the limited liability company agreement ("Opco LLCA") of SOLV Energy Holdings LLC ("Opco"), the Reporting Person is entitled to redeem common units of Opco ("Opco LLC Interests") for, at the Issuer's election, shares of Class A common stock of the Issuer ("Class A common stock") on a one-for-one basis or, using proceeds from a substantially contemporaneous follow-on offering or secondary offering, a cash payment equal to the price per share of the Class A common stock net of any underwriting discounts or commissions paid in such offering, in each case in accordance with the terms of the Opco LLCA. Upon a redemption of Opco LLC Interests, an equal number of shares of Class B common stock of the Issuer held by the Reporting Person will be surrendered to and cancelled by the Issuer for no additional consideration.

F2 · derivative.expiration_date: (Continued from footnote 1) Each share of Class B common stock entitles the Reporting Person to one vote per share but carries no economic rights. Opco LLC Interests do not have an expiration date.

F3 · derivative.underlying_shares: Represents the direct exchange for cash of 3,027 Opco LLC Interests directly held and 12,327 Opco LLC Interests indirectly held by the Reporting Person (and the cancellation of an equal number of shares of Class B common stock of the Issuer held by the Reporting Person) in connection with the public offering of Class A common stock by affiliates of American Securities LLC and the Issuer pursuant to the prospectus dated May 28, 2026, and accompanying registration statement on Form S-1 (File No. 333-296238), of the Issuer (the "Follow-On Offering").

SEC source: 0001127602-18-035740 · form4.xml · nonDerivative · entry 2

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,012

SEC source: 0001127602-18-035740 · form4.xml · derivative · entry 3

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,055

Underlying: Ordinary Shares · 124,055 shares

Expires 2028-12-06

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.

SEC source: 0001127602-18-035740 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,819

F1 · shares: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting.

F2 · price: Each restricted share unit is the economic equivalent of one ordinary share of JCI.

SEC source: 0001127602-18-029866 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,361

SEC source: 0001127602-17-034395 · form4.xml · derivative · entry 3

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,836

Underlying: Ordinary Shares · 97,836 shares

Expires 2027-12-07

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.

SEC source: 0001127602-17-034395 · form4.xml · nonDerivative · entry 2

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,953

SEC source: 0001127602-17-034395 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,304

F1 · shares: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting.

F2 · price: Each restricted share unit is the economic equivalent of one ordinary share of JCI.

SEC source: 0001127602-17-033230 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,842

SEC source: 0001127602-17-033042 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & Pres Global Products BT&S

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,842

SEC source: 0001127602-17-029731 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,351

SEC source: 0000899243-17-009877 · doc4.xml · derivative · entry 5

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,070 shares

Expires 2024-08-04

F6 · kind: Reflects disposition under the Merger Agreement, pursuant to which each outstanding stock option of the Issuer was canceled in exchange for an amount in cash equal to (x) the aggregate number of shares of Common Stock underlying such stock option immediately prior to the Merger, multiplied by (y) the value of the Merger Consideration (with the Share Consideration being valued at $16.88 per share (the closing price of a share of AAM common stock on April 5, 2017 (the last trading day prior to the effectiveness of the Merger)) less the exercise price of such stock option.

F6 · price: Reflects disposition under the Merger Agreement, pursuant to which each outstanding stock option of the Issuer was canceled in exchange for an amount in cash equal to (x) the aggregate number of shares of Common Stock underlying such stock option immediately prior to the Merger, multiplied by (y) the value of the Merger Consideration (with the Share Consideration being valued at $16.88 per share (the closing price of a share of AAM common stock on April 5, 2017 (the last trading day prior to the effectiveness of the Merger)) less the exercise price of such stock option.

F5 · derivative.exercise_date: Represents an exercisable stock option, which was to vest and become exercisable in three equal annual installments (beginning on August 4, 2015), and with any previously unvested options being accelerated and becoming vested and exercisable under the Merger Agreement as of immediately prior to the Merger.

SEC source: 0000899243-17-009877 · doc4.xml · derivative · entry 4

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,695 shares

Expires 2023-04-30

F6 · kind: Reflects disposition under the Merger Agreement, pursuant to which each outstanding stock option of the Issuer was canceled in exchange for an amount in cash equal to (x) the aggregate number of shares of Common Stock underlying such stock option immediately prior to the Merger, multiplied by (y) the value of the Merger Consideration (with the Share Consideration being valued at $16.88 per share (the closing price of a share of AAM common stock on April 5, 2017 (the last trading day prior to the effectiveness of the Merger)) less the exercise price of such stock option.

F6 · price: Reflects disposition under the Merger Agreement, pursuant to which each outstanding stock option of the Issuer was canceled in exchange for an amount in cash equal to (x) the aggregate number of shares of Common Stock underlying such stock option immediately prior to the Merger, multiplied by (y) the value of the Merger Consideration (with the Share Consideration being valued at $16.88 per share (the closing price of a share of AAM common stock on April 5, 2017 (the last trading day prior to the effectiveness of the Merger)) less the exercise price of such stock option.

F4 · derivative.exercise_date: Represents an exercisable stock option, which was to vest and become exercisable in five equal annual installments (beginning on April 30, 2014), and with any previously unvested options being accelerated and becoming vested and exercisable under the Merger Agreement as of immediately prior to the Merger.

SEC source: 0000899243-17-009877 · doc4.xml · nonDerivative · entry 3

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Reflects disposition in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of November 3, 2016 (the "Merger Agreement"), by and among the Issuer, American Axle & Manufacturing Holdings, Inc. ("AAM") and Alpha SPV I, Inc., a wholly-owned subsidiary of AAM ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of AAM and each share of Common Stock was exchanged for $13.50 in cash (the "Cash Consideration") and 0.5 of a share of common stock of AAM (the "Share Consideration" and, together with the Cash Consideration, the "Merger Consideration"). The closing price of a share of Common Stock on April 5, 2017 (the last trading day prior to the effectiveness of the Merger) was $21.90, and the closing price of a share of AAM common stock on April 6, 2017 (the effective date of the Merger) was $17.00.

F3 · price: Reflects disposition under the Merger Agreement, pursuant to which each restricted stock unit of the Issuer became fully vested immediately prior to the Merger and was canceled in exchange for the Merger Consideration.

SEC source: 0000899243-17-009877 · doc4.xml · nonDerivative · entry 2

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Reflects disposition in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of November 3, 2016 (the "Merger Agreement"), by and among the Issuer, American Axle & Manufacturing Holdings, Inc. ("AAM") and Alpha SPV I, Inc., a wholly-owned subsidiary of AAM ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of AAM and each share of Common Stock was exchanged for $13.50 in cash (the "Cash Consideration") and 0.5 of a share of common stock of AAM (the "Share Consideration" and, together with the Cash Consideration, the "Merger Consideration"). The closing price of a share of Common Stock on April 5, 2017 (the last trading day prior to the effectiveness of the Merger) was $21.90, and the closing price of a share of AAM common stock on April 6, 2017 (the effective date of the Merger) was $17.00.

F2 · price: Reflects disposition under the Merger Agreement, pursuant to which each share of restricted stock of the Issuer was canceled in exchange for the Merger Consideration.

SEC source: 0000899243-17-009877 · doc4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Reflects disposition in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of November 3, 2016 (the "Merger Agreement"), by and among the Issuer, American Axle & Manufacturing Holdings, Inc. ("AAM") and Alpha SPV I, Inc., a wholly-owned subsidiary of AAM ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of AAM and each share of Common Stock was exchanged for $13.50 in cash (the "Cash Consideration") and 0.5 of a share of common stock of AAM (the "Share Consideration" and, together with the Cash Consideration, the "Merger Consideration"). The closing price of a share of Common Stock on April 5, 2017 (the last trading day prior to the effectiveness of the Merger) was $21.90, and the closing price of a share of AAM common stock on April 6, 2017 (the effective date of the Merger) was $17.00.

F1 · price: Reflects disposition in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of November 3, 2016 (the "Merger Agreement"), by and among the Issuer, American Axle & Manufacturing Holdings, Inc. ("AAM") and Alpha SPV I, Inc., a wholly-owned subsidiary of AAM ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of AAM and each share of Common Stock was exchanged for $13.50 in cash (the "Cash Consideration") and 0.5 of a share of common stock of AAM (the "Share Consideration" and, together with the Cash Consideration, the "Merger Consideration"). The closing price of a share of Common Stock on April 5, 2017 (the last trading day prior to the effectiveness of the Merger) was $21.90, and the closing price of a share of AAM common stock on April 6, 2017 (the effective date of the Merger) was $17.00.

SEC source: 0001127602-16-068101 · form4.xml · derivative · entry 2

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,883.701

Underlying: Ordinary Shares · 57,422.81 shares

Expires not disclosed

F2 · shares: Represents performance share units for the three-year performance period ended September 30, 2016. The Compensation Committee approved the performance results on November 18, 2016. Receipt of the related shares is deferred to a future date.

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.

SEC source: 0001127602-16-068101 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,159.03

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.

SEC source: 0001127602-16-064663 · form4.xml · derivative · entry 2

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,194

Underlying: Ordinary Shares · 75,194 shares

Expires 2026-10-07

F2 · 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.

SEC source: 0001127602-16-064663 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,324.51

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.

SEC source: 0001127602-16-065290 · form4a.xml · derivative · entry 2

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,724

Underlying: Ordinary Shares · 76,724 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 75,194 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.

SEC source: 0001127602-16-065290 · form4a.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,627.51

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 14,926 ordinary shares underlying restricted share units granted on October 7, 2016.

SEC source: 0001127602-16-062408 · form4.xml · nonDerivative · entry 2

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,398.25

F1 · shares: Reflects grant of restricted stock units. Restricted stock units accrue dividend equivalent units and convert to ordinary shares upon vesting.

SEC source: 0001127602-16-062408 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,163.25

F1 · shares: Reflects grant of restricted stock units. Restricted stock units accrue dividend equivalent units and convert to ordinary shares upon vesting.

SEC source: 0001127602-16-062040 · form4.xml · derivative · entry 14

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,324.827 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.

F8 · derivative.underlying_shares: Includes 1,187.671 units 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 unit.

SEC source: 0001127602-16-062040 · form4.xml · derivative · entry 13

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,952 shares

Expires 2023-11-19

F7 · 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.

SEC source: 0001127602-16-062040 · form4.xml · derivative · entry 12

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,000 shares

Expires 2021-10-07

F7 · 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.

SEC source: 0001127602-16-062040 · form4.xml · derivative · entry 11

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,800 shares

Expires 2022-10-05

F7 · 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.

SEC source: 0001127602-16-062040 · form4.xml · derivative · entry 10

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 41,441 shares

Expires 2024-11-18

F7 · 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.

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.

SEC source: 0001127602-16-062040 · form4.xml · derivative · entry 9

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 49,961 shares

Expires 2025-10-07

F7 · 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.

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.

SEC source: 0001127602-16-062040 · form4.xml · derivative · entry 8

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,324.827

Underlying: Common Stock · 16,812.18 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.

SEC source: 0001127602-16-062040 · form4.xml · derivative · entry 7

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,137.007

Underlying: Common Stock · 847.693 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.

SEC source: 0001127602-16-062040 · form4.xml · nonDerivative · entry 6

Jackson William C · CIK 0001522750 · VP & President, BE

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 2,082.363 shares 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 share.

F3 · 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").

SEC source: 0001127602-16-062040 · form4.xml · nonDerivative · entry 5

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,090.835

SEC source: 0001127602-16-062040 · form4.xml · nonDerivative · entry 4

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,903.015

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.

SEC source: 0001127602-16-062040 · form4.xml · nonDerivative · entry 3

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,090.835

SEC source: 0001127602-16-062040 · form4.xml · nonDerivative · entry 2

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,002.835

SEC source: 0001127602-16-062040 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,850.528

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.

SEC source: 0001127602-16-062146 · form4.xml · derivative · entry 7

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,961

Underlying: Ordinary Shares · 49,961 shares

Expires 2025-10-07

F6 · 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.

F7 · derivative.exercise_date: Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.

SEC source: 0001127602-16-062146 · form4.xml · derivative · entry 6

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,441

Underlying: Ordinary Shares · 41,441 shares

Expires 2024-11-18

F6 · 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.

F7 · derivative.exercise_date: Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.

SEC source: 0001127602-16-062146 · form4.xml · derivative · entry 5

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,952

Underlying: Ordinary Shares · 40,952 shares

Expires 2023-11-19

F6 · 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.

SEC source: 0001127602-16-062146 · form4.xml · derivative · entry 4

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,800

Underlying: Ordinary Shares · 53,800 shares

Expires 2022-10-05

F6 · 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.

SEC source: 0001127602-16-062146 · form4.xml · derivative · entry 3

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,000

Underlying: Ordinary Shares · 86,000 shares

Expires 2021-10-07

F6 · 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.

SEC source: 0001127602-16-062146 · form4.xml · derivative · entry 2

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,324.87

Underlying: Ordinary Shares · 13,324.87 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.

SEC source: 0001127602-16-062146 · form4.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,714.25

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.

SEC source: 0001127602-16-064661 · form4a.xml · nonDerivative · entry 1

Jackson William C · CIK 0001522750 · VP & President, BE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,714.51

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 117,714.25 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.