SEC Form 4 · accession 0001127602-19-011082
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Brennan
Officer — SVP, GLOBAL SUPPLY CHAIN
Period of report
Mar 8, 2019
Accepted (ET)
Mar 12, 2019 · 5:37 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 | Mar 8, 2019 | S | 6,350 | $31.6599 | D | 46,045 | D | |
| Ordinary SharesF2 | Mar 8, 2019 | J | 1,580 | $0.00 | D | 44,465 | D | |
| Ordinary SharesF2 | Mar 8, 2019 | J | 1,580 | $0.00 | A | 1,580 | I | Donor Advised Fund |
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 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 39,330 | 39,330 | D |
| Restricted SharesF3,F4 | $0.00 | holding | — | — | — | Jan 31, 2021 | — | Ordinary Shares | 39,520 | 39,520 | D |
| Restricted SharesF3,F4 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 50,440 | 50,440 | D |
| Restricted SharesF5,F4 | $0.00 | holding | — | — | — | Mar 31, 2021 | — | Ordinary Shares | 14,749 | 14,749 | D |
| Restricted SharesF5,F4 | $0.00 | holding | — | — | — | Mar 30, 2019 | — | Ordinary Shares | 4,298 | 4,298 | D |
| Restricted SharesF5,F4 | $0.00 | holding | — | — | — | Mar 30, 2022 | — | Ordinary Shares | 19,760 | 19,760 | D |
| Restricted SharesF5,F4 | $0.00 | holding | — | — | — | Jul 7, 2020 | — | Ordinary Shares | 12,610 | 12,610 | D |
Explanation of responses
- F1The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.6500 to $31.6550, inclusive. The reporting person undertakes to provide issuer or any security holder of the issuer or the staff of the Security Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2Represents Ordinary Shares transferring from direct to indirect ownership only.
- F3Represents 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.
- F4This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- 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.