Lynn C. Minella - Jun 7, 2021 Form 4 Insider Report for Johnson Controls International plc (JCI)

Role
Vice President, CHRO
Signature
/s/ Leanne Michels, attorney-in-fact
Stock symbol
JCI
Transactions as of
Jun 7, 2021
Transactions value $
-$2,306,598
Form type
4
Date filed
6/8/2021, 04:11 PM
Next filing
Jan 27, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction JCI Ordinary Shares Options Exercise $1.72M +46.1K +59.86% $37.36 123K Jun 7, 2021 Direct F1
transaction JCI Ordinary Shares Options Exercise $976K +29.2K +23.74% $33.39 152K Jun 7, 2021 Direct F1
transaction JCI Ordinary Shares Sale -$4.99M -75.1K -49.32% $66.44 77.2K Jun 7, 2021 Direct F1, F2
transaction JCI Ordinary Shares Sale -$13.4K -200 -0.26% $67.04 77K Jun 7, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction JCI Employee Stock Option (Right to Buy) Options Exercise $0 -46.1K -100% $0.00* 0 Jun 7, 2021 Ordinary Shares 46.1K $37.36 Direct F3
transaction JCI Employee Stock Option (Right to Buy) Options Exercise $0 -29.2K -50% $0.00 29.2K Jun 7, 2021 Ordinary Shares 29.2K $33.39 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Transaction effected pursuant to a Rule 10b5-1 trading plan.
F2 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $66.00 to $66.99 inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 2 of this Form 4.
F3 Subject to certain acceleration and forfeiture provisions, fifty percent of the options became exercisable on the second anniversary of the grant and the remaining fifty percent became exercisable on the third anniversary of the grant.