SEC Form 5 · accession 0001127602-19-005708
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
Dec 31, 2018
Accepted (ET)
Feb 13, 2019 · 5:01 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 7, 2018 | G | 58,279 | $0.00 | D | 862,144 | D | |
| Ordinary SharesF1 | Jul 26, 2018 | J | 25,026 | $0.00 | D | 0 | I | By 2015 Grantor Retainer Annuity Trust Account |
| Ordinary SharesF1 | Jul 26, 2018 | J | 25,026 | $0.00 | A | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted SharesF2,F3 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 61,800 | 61,800 | D |
| Restricted SharesF2,F3 | $0.00 | holding | — | — | — | Jan 31, 2021 | — | Ordinary Shares | 31,050 | 31,050 | D |
| Restricted SharesF2,F3 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 302,630 | 302,630 | D |
| Restricted SharesF4,F3 | $0.00 | holding | — | — | — | Mar 29, 2021 | — | Ordinary Shares | 23,175 | 23,175 | D |
| Restricted SharesF4,F3 | $0.00 | holding | — | — | — | Mar 30, 2022 | — | Ordinary Shares | 15,525 | 15,525 | D |
| Restricted SharesF4,F3 | $0.00 | holding | — | — | — | Jul 7, 2017 | — | Ordinary Shares | 75,658 | 75,658 | D |
Explanation of responses
- F1Represents Ordinary Shares transferring from indirect to direct ownership only.
- F2Represents 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.
- F3This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- 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.