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Stief Brian J – ‘4’ for 9/15/20 re: Johnson Controls International plc

On:  Thursday, 9/17/20, at 12:51pm ET   ·   For:  9/15/20   ·   Accession #:  1127602-20-25279   ·   File #:  1-13836

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/17/20  Stief Brian J                     4                      1:6K   Johnson Controls Int’l plc        Restricted Stock Sy… Inc

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- form4.xml/3.6                        




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Stief Brian J

(Last)(First)(Middle)
5757 N. GREEN BAY AVENUE

(Street)
MILWAUKEEWI53209

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
Johnson Controls International plc [ JCI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
XOfficer (give title below) Other (specify below)
Vice Chairman and CFO
3. Date of Earliest Transaction (Month/Day/Year)
9/15/20
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Share Units$0 9/15/20 I (1) (2) 108,551.95 (3) (3)Restricted Share Units108,551.95$42.29325,656.98 (4)D
Explanation of Responses:
(1)  Transaction effected pursuant to a Rule 10b5-1 trading plan.
(2)  The reporting person elected to diversify their holdings in the share unit account under the Johnson Controls International plc Senior Executive Deferred Compensation Plan into other investment options available under the Plan.
(3)  Vested restricted share units will be credited to the reporting person's account under the Company's Deferred Compensation Plan and will be distributed upon the reporting person's termination or retirement pursuant to the terms of such plan.
(4)  The Number of Derivative Securities Beneficially Owned was erroneously reported as 0 on prior Form 4 due to a clerical error omitting unvested restricted stock units that will be credited to the reporting person's account under the Company's Deferred Compensation Plan, which were previously reported on Form 4.
/s/ Leanne Michels, attorney-in-fact 9/17/20
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
____________
Transaction Code:
    I    Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of Issuer securities.

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