SEC Form 4 · accession 0001127602-18-023055
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Stanzione
Officer — EXECUTIVE CHAIRMAN · Director
Period of report
Apr 30, 2018
Accepted (ET)
Jul 10, 2018 · 8:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001645494
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Apr 30, 2018 | J | 877 | $23.21 | A | 872,954 | D | |
| Ordinary SharesF2 | Jul 6, 2018 | M | 22,443 | $0.00 | A | 895,397 | D | |
| Ordinary Shares | holding | — | — | — | 25,026 | I | By 2015 Grantor Retainer Annuity Trust Account |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted SharesF3,F4,F5 | $0.00 | Jul 6, 2018 | F | 15,386 | D | Jul 7, 2017 | — | Ordinary Shares | 15,386 | 98,101 | D |
| Restricted SharesF2,F4,F5 | $0.00 | Jul 6, 2018 | M | 22,443 | D | Jul 7, 2017 | — | Ordinary Shares | 22,443 | 75,658 | D |
| Restricted SharesF6,F5 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 61,800 | 61,800 | D |
| Restricted SharesF6,F5 | $0.00 | holding | — | — | — | Jan 31, 2021 | — | Ordinary Shares | 31,050 | 31,050 | D |
| Restricted SharesF6,F5 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 302,630 | 302,630 | D |
| Restricted SharesF4,F5 | $0.00 | holding | — | — | — | Mar 29, 2021 | — | Ordinary Shares | 23,175 | 23,175 | D |
| Restricted SharesF4,F5 | $0.00 | holding | — | — | — | Mar 30, 2022 | — | Ordinary Shares | 15,525 | 15,525 | D |
Explanation of responses
- F1Shares acquired through the ARRIS International plc ESPP.
- F2Represents the vested portion of a restricted stock unit grant converting to ordinary shares.
- F3Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units.
- F4Represents a restricted stock unit grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested.
- F5This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F6Represents a restricted stock unit grant that is performance-based and can vest between 0 and 200% of the grant amount based on the Company's shareholder return as compared to the NASDAQ Composite shareholder return over a three-year measurement period. Amount shown reflects maximum vesting of the award at the 200% level.