SEC Form 4 · accession 0001127602-18-023056
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip Charles Baldock
Officer — SVP, CHIEF INFORMATION OFFICER
Period of report
Apr 30, 2018
Accepted (ET)
Jul 10, 2018 · 8:08 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 | Jul 6, 2018 | M | 2,788 | $0.00 | A | 12,691 | D | |
| Ordinary SharesF2 | Jul 9, 2018 | S | 1,394 | $25.47 | D | 11,297 | D | |
| Ordinary SharesF3 | Apr 30, 2018 | J | 247 | $23.21 | A | 10,150 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted SharesF4,F5,F6 | $0.00 | Jul 6, 2018 | F | 1,215 | D | Jul 7, 2020 | — | Ordinary Shares | 1,215 | 10,793 | D |
| Restricted SharesF1,F5,F6 | $0.00 | Jul 6, 2018 | M | 2,788 | D | Jul 7, 2020 | — | Ordinary Shares | 2,788 | 8,005 | D |
| Restricted SharesF7,F6 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 29,960 | 29,960 | D |
| Restricted SharesF7,F6 | $0.00 | holding | — | — | — | Jan 31, 2021 | — | Ordinary Shares | 32,930 | 32,930 | D |
| Restricted SharesF7,F6 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 32,020 | 32,020 | D |
| Restricted SharesF5,F6 | $0.00 | holding | — | — | — | Mar 29, 2012 | — | Ordinary Shares | 11,235 | 11,235 | D |
| Restricted SharesF5,F6 | $0.00 | holding | — | — | — | Mar 30, 2022 | — | Ordinary Shares | 16,465 | 16,465 | D |
Explanation of responses
- F1Represents the vested portion of a restricted stock unit grant converting to ordinary shares.
- F2Shares sold subject to an existing Rule 10b5-1 Sales Plan.
- F3Shares acquired through the ARRIS International plc ESPP.
- F4Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units.
- F5Represents 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.
- F6This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F7Represents 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.