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Johnson Controls International plc — Director's Dealing 2013
Apr 1, 2013
29939_dirs_2013-04-01_f86dc6c6-f27e-477a-a6fa-5aff534017eb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: TYCO INTERNATIONAL LTD (TYC)
CIK: 0000833444
Period of Report: 2013-03-28
Reporting Person: BREEN EDWARD D (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-03-28 | Common Shares | M | 1002052.0000 | $0.0000 | Acquired | 1357934.0000 | Direct |
| 2013-03-28 | Common Shares | M | 241446.0000 | $0.0000 | Acquired | 1599380.0000 | Direct |
| 2013-03-28 | Common Shares | M | 69334.0000 | $0.0000 | Acquired | 1668714.0000 | Direct |
| 2013-03-28 | Common Shares | F | 578967.0000 | $31.5825 | Disposed | 1089747.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-03-28 | Deferred Stock Units (Call Equivalent) | $ | M | 1002052.0000 | Disposed | Common Shares (1002052.0000) | Direct | |
| 2013-03-28 | Performance Share Units | $ | M | 107100.0000 | Disposed | Common Shares (107100.0000) | Direct | |
| 2013-03-28 | Performance Share Units | $ | M | 127300.0000 | Disposed | Common Shares (127300.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 92000.0000 | Indirect |
Footnotes
F1: Represents gross number of shares awarded upon payout on March 28, 2013 of performance share units granted in 2010. These performance share units were initially reported on a voluntary basis as a derivative at target amount of 127,300 units.
F2: Represents gross number of shares awarded upon payout on March 28, 2013 of performance share units granted in 2011. These performance share units were initially reported on a voluntary basis as a derivative at target amount of 107,100 units.
F3: Conversion is 1-for-1.
F4: Deferred Stock Units, granted in July 2002, plus accrued dividend equivalent units converted to common shares on March 28, 2013.
F5: Upon vesting, the reporting person receives a distribution of common shares based on whether performance targets are achieved. For all performance share units outstanding at the time, performance was determined as of June 29, 2012 in advance of Tyco's spin-offs of its ADT residential security business and flow control business. Amounts presented reflect the number of shares (adjusted for performance results) that were delivered upon vesting on March 28, 2013.
F6: These performance share units granted in 2011 vested on March 28, 2013.
F7: These performance share units granted in 2010 vested on March 28, 2013.