Johnson Controls International plc — Director's Dealing 2021

Dec 10, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Johnson Controls International plc (JCI)
CIK: 0000833444
Period of Report: 2021-12-08

Reporting Person: Oliver George (Chairman & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-12-08	Ordinary Shares	A	34573	—	Acquired	1303784.05	Direct
2021-12-08	Ordinary Shares	G	566723	—	Disposed	737061.05	Direct
2021-12-08	Ordinary Shares	G	249876	—	Acquired	249876	Indirect
2021-12-08	Ordinary Shares	G	246981	—	Acquired	246981	Indirect
2021-12-08	Ordinary Shares	G	69866	—	Acquired	69866	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-12-08	Employee Stock Option (Right to Buy)	$79.54	A	147928	Acquired	2031-12-08	Ordinary Shares (147928)	Direct

Footnotes

F1: Reflects grant of restricted share units. Restricted share units accrue dividend equivalent units and convert to ordinary shares upon vesting.

F2: 249,876 shares were gifted to George R Oliver, Sr. 2 Year (GRAT), 69,866 shares were gifted to Oliver Family Trust (SLAT) and 246,981 shares were gifted to George R Oliver, Sr. 5 Year (GRAT).

F3: 249,876 shares were gifted to George R Oliver, Sr. 2 Year (GRAT).

F4: 246,981 shares were gifted to George R Oliver, Sr. 5 Year (GRAT).

F5: 69,866 shares were gifted to Oliver Family Trust (SLAT).

F6: 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.