George Oliver - Sep 16, 2024 Form 4 Insider Report for Johnson Controls International plc (JCI)

Signature
/s/ Leanne Michels, attorney-in-fact
Stock symbol
JCI
Transactions as of
Sep 16, 2024
Transactions value $
-$3,407,871
Form type
4
Date filed
9/17/2024, 05:59 PM
Previous filing
May 6, 2024
Next filing
Oct 16, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction JCI Ordinary Shares Options Exercise $4.63M +111K +8.89% $41.86 1.35M Sep 16, 2024 Direct F1
transaction JCI Ordinary Shares Sale -$8.04M -111K -8.17% $72.67 1.24M Sep 16, 2024 Direct F1
holding JCI Ordinary Shares 153K Sep 16, 2024 GRO Sr. 5 Year GRAT
holding JCI Ordinary Shares 69.9K Sep 16, 2024 Oliver Family Trust (SLAT)

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 -111K -33.33% $0.00 221K Sep 16, 2024 Ordinary Shares 111K $41.86 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Transaction effected pursuant to a Rule 10b5-1 trading plan adopted on June 5, 2024.
F2 Options became exercisable in four equal installments on each of the first, second, third and fourth anniversary of the grant date.