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Johnson Controls VP amends Form 3 to add 401k holdings

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

Rhea-AI Filing Summary

Johnson Controls International (JCI) filed a Form 3/A by an officer (VP and President, Americas) amending a prior report. The filing discloses 39,786.39 ordinary shares held directly and 1,345.46 ordinary shares held indirectly through a 401k plan trustee.

The amendment explains the 401k position is based on the stock fund balance and that the exact share count at distribution cannot be determined because the fund is unitized, consisting of 96% company shares and 4% money market fund. The event date is 10/01/2025.

Positive

  • None.

Negative

  • None.
Insider Grabowski Todd M
Role VP and President, Americas
Type Security Shares Price Value
holding Ordinary Shares -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Ordinary Shares — 1,345.46 shares (Indirect, by 401k plan trustee); Ordinary Shares — 39,786.39 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*
Grabowski Todd M
(Last) (First) (Middle)
5757 N GREEN BAY AVE
(Street)
GLENDALE WI 53209
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/01/2025 		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)
VP and President, Americas
5. If Amendment, Date of Original Filed (Month/Day/Year)
10/01/2025
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)
Ordinary Shares 1,345.46(1) I by 401k plan trustee
Ordinary Shares 39,786.39 D
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
Explanation of Responses:
1. This report on Form 3/A amends the original Form 3 filed by the Reporting Person on October 1, 2025 and is being filed to disclose shares held in the Reporting Person's 401K account. The number of underlying securities is based on the stock fund balance. The actual number of shares issuable upon the distribution date is not determinable since the fund is a unitized account consisting of 96% company shares and 4% money market fund.
/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) file?

A Form 3/A amendment updating insider beneficial ownership details, including 401k holdings.

Whose relationship to Johnson Controls is disclosed?

The reporting person is an Officer, serving as VP and President, Americas.

How many JCI shares are held directly?

The filing lists 39,786.39 ordinary shares held directly.

How many JCI shares are held via the 401k?

The filing lists 1,345.46 ordinary shares held indirectly by the 401k plan trustee.

Why was the Form 3 amended?

To disclose shares held in the reporting person's 401k account, based on the stock fund balance.

What is the composition of the 401k stock fund?

It is a unitized account consisting of 96% company shares and 4% money market fund.

What is the date of the reportable event?

The event date is 10/01/2025.