SEC Form 4 · accession 0001127602-18-035415
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ian Edward Whiting
Officer — President, Enterprise Networks
Period of report
Dec 4, 2018
Accepted (ET)
Dec 6, 2018 · 4:53 pm EST
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 Shares | Dec 4, 2018 | M | 4,137 | $0.00 | A | 4,137 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted SharesF1,F2 | $0.00 | Dec 4, 2018 | F | 2,188 | D | Dec 4, 2021 | — | Ordinary Shares | 2,188 | 23,112 | D |
| Restricted SharesF1,F2 | $0.00 | Dec 4, 2018 | M | 4,137 | D | Dec 4, 2021 | — | Ordinary Shares | 4,137 | 18,975 | D |
| Restricted SharesF1,F2 | $0.00 | holding | — | — | — | Mar 30, 2022 | — | Ordinary Shares | 27,100 | 27,100 | D |
| Restricted SharesF1,F2 | $0.00 | holding | — | — | — | Jul 1, 2022 | — | Ordinary Shares | 16,360 | 16,360 | D |
| Restricted SharesF3,F2 | $0.00 | holding | — | — | — | Dec 31, 2018 | — | Ordinary Shares | 15,180 | 15,180 | D |
Explanation of responses
- F1Represents 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.
- F2This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F3Represents a restricted stock unit grant which fully vests one year from the grant date.