George Oliver - 15 Oct 2024 Form 4 Insider Report for Johnson Controls International plc (JCI)

Role
Chairman & CEO
Signature
/s/ Leanne Michels, attorney-in-fact
Issuer symbol
JCI
Transactions as of
15 Oct 2024
Net transactions value
-$3,863,398
Form type
4
Filing time
16 Oct 2024, 16:37:35 UTC
Previous filing
17 Sep 2024
Next filing
18 Nov 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction JCI Ordinary Shares Options Exercise $4,630,344 +110,615 +8.9% $41.86 1,354,366 15 Oct 2024 Direct F1
transaction JCI Ordinary Shares Sale $8,417,008 -109,625 -8.1% $76.78 1,244,741 15 Oct 2024 Direct F1, F2
transaction JCI Ordinary Shares Sale $76,735 -990 -0.08% $77.51 1,243,751 15 Oct 2024 Direct F1, F3
holding JCI Ordinary Shares 0 15 Oct 2024 GRO Sr. 2 Year GRAT
holding JCI Ordinary Shares 152,759 15 Oct 2024 GRO Sr. 5 Year GRAT
holding JCI Ordinary Shares 69,866 15 Oct 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 -110,615 -50% $0.000000 110,616 15 Oct 2024 Ordinary Shares 110,615 $41.86 Direct F4
* 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 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $76.48 to $77.47 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 this footnote.
F3 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $77.49 to $77.55 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 this footnote.
F4 Options became exercisable in four equal installments on each of the first, second, third and fourth anniversary of the grant date.