SEC Form 4 · accession 0001209191-15-031692
ARRIS GROUP INC · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Potts
Officer — CFO/Executive Vice President
Period of report
Mar 31, 2015
Accepted (ET)
Apr 2, 2015 · 5:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001141107
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Mar 31, 2015 | C | 3,664 | $0.00 | A | 86,847 | D | |
| Common stockF2 | Mar 31, 2015 | S | 10,685 | $28.6481 | D | 76,162 | D | |
| Common stockF2 | Apr 1, 2015 | S | 3,664 | $28.7404 | D | 72,498 | D | |
| Restricted stockF3,F4 | Mar 31, 2015 | F | 3,377 | $29.08 | D | 3,664 | D | |
| Restricted stockF3,F1 | Mar 31, 2015 | C | 3,664 | $0.00 | D | 0 | D | |
| Restricted stockF5 | holding | — | — | — | 8,506 | D | ||
| Restricted stockF6 | holding | — | — | — | 11,357 | D | ||
| Restricted stockF7 | holding | — | — | — | 45,430 | D | ||
| Restricted stockF8 | holding | — | — | — | 46,950 | D | ||
| Restricted stockF9 | holding | — | — | — | 15,000 | D | ||
| Restricted stockF10 | holding | — | — | — | 19,035 | D | ||
| Restricted stockF11 | holding | — | — | — | 50,760 | D | ||
| Restricted stockF12 | holding | — | — | — | 24,070 | D | ||
| Restricted stockF13 | holding | — | — | — | 48,140 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the vested portion of a restricted stock grant converting to common stock.
- F10Represents a restricted stock grant which vests annually in fourths beginning on March 27, 2015 (the "vesting date") and on each successive anniversary of the vesting date.
- F11Represents a restricted stock grant which is performance-based. 0 to 50,760 of the grant are subject to the Company's shareholder return as compared to the NASDAQ Composite shareholder return over the three year period ended 12/31/2016 and will vest 1/31/2017.
- F12Represents a restricted stock grant which vests annually in fourths beginning on March 30, 2016 (the "vesting date")and on each successive anniversary of the vesting date.
- F13Represents a restricted stock grant which is performance-based. 0 to 48,140 of the grant are subject to the Company's shareholder return as compared to the NASDAQ Composite shareholder return over the three year period ended 12/31/2017 and will vest 1/31/2018.
- F2Shares sold subject to an existing Rule 10b5-1 Sales Plan.
- F3Represents a restricted stock grant which vests annually in fourths beginning on March 31, 2012(the "vesting date") and on each successive anniversary of the vesting date.
- F4Represents shares withheld to cover payroll tax liability on partial vesting of previously granted restricted shares
- F5Represents a restricted stock grant which vests annually in fourths beginning on March 28, 2013(the "vesting date") and on each successive anniversary of the vesting date.
- F6Represents a restricted stock grant which vests annually in fourths beginning on March 29, 2014 (the "vesting date") and on each successive anniversary of the vesting date.
- F7Represents a restricted stock grant which is performance-based. 0 to 45,430 of the grant are subject to the Company's shareholder return as compared to the NASDAQ Composite shareholder return over the three year period ended 12/31/2015 and will vest 1/31/2016.
- F8Represents a restricted stock grant which vests annually in fourths beginning on July 12, 2014 (the "vesting date") and on each successive anniversary of the vesting date.
- F9Represents a restricted stock grant which is performance-based. 0 to 15,000 of the grant are subject to the Company's shareholder return as compared to the NASDAQ Composite shareholder return over the three year period ended 12/31/2015 and will vest 1/31/2016.