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Johnson Controls updates Form 3/A with 2,540.53 phantom units

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3/A

Rhea-AI Filing Summary

Johnson Controls International (JCI) filed a Form 3/A to amend an earlier report and include 2,540.53 phantom stock units held by an executive in a deferred compensation account. The amendment notes that 107 units accrued through dividend reinvestment since the original filing. Each phantom stock unit reflects the value of one ordinary share and settles 100% in cash upon the reporting person’s termination or retirement, subject to vesting. The executive’s title on 08/07/2023 was VP and President, EMEALA.

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Insider Vandiepenbeeck Marc
Role EVP and CFO
Type Security Shares Price Value
holding Phantom Stock Units -- -- --
Holdings After Transaction: Phantom Stock Units — 2,540.53 shares (Direct)
Footnotes (1)
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SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Vandiepenbeeck Marc
(Last) (First) (Middle)
5757 N GREEN BAY AVE
(Street)
MILWAUKEE WI 53209
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/07/2023 		3. Issuer Name and Ticker or Trading Symbol
Johnson Controls International plc [ JCI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP and CFO
5. If Amendment, Date of Original Filed (Month/Day/Year)
08/08/2023
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Phantom Stock Units (1) (1) Phantom Stock Units - Deferred Compensation 2,540.53 (1) D
Explanation of Responses:
1. Each phantom stock unit represents the right to receive the value of one ordinary share.
Remarks:
This report on Form 3/A amends the original Form 3 filed by the Reporting Person on August 8, 2023, and is being filed to include phantom stock units held in the Reporting Person's deferred compensation account. Includes 107 phantom stock units accrued through dividend reinvestment since the date of the original Form 3 filing. Phantom stock units accrue under the Johnson Controls Executive Deferred Compensation Plan and settle 100% in cash upon the reporting person's termination or retirement, subject to vesting requirements. The reporting person's title on August 7, 2023 was VP and President, EMEALA.
/s/ Leanne Michels, attorney-in-fact 11/05/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What did JCI (JCI) disclose in this Form 3/A?

An amendment adding 2,540.53 phantom stock units to the reporting person’s deferred compensation holdings.

What do JCI’s phantom stock units represent?

Each unit represents the value of one ordinary share and settles 100% in cash upon termination or retirement, subject to vesting.

How many units were added via dividend reinvestment?

The amendment includes 107 phantom stock units accrued through dividend reinvestment since the original filing.

Who is the reporting person’s relationship to JCI?

The reporting person is an Officer. The title on 08/07/2023 was VP and President, EMEALA.

What is the event date for this ownership report?

The event date is 08/07/2023.

How are these phantom stock units categorized?

They are listed in Table II as Phantom Stock Units – Deferred Compensation with 2,540.53 units owned directly.

Does this filing involve actual share issuance?

No. It reports cash-settled phantom stock units, not the issuance of ordinary shares.