SEC Form 4 · accession 0001415889-16-005789
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
May 5, 2015
Accepted (ET)
May 9, 2016 · 5:29 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 | May 5, 2016 | S | 8,500 | $25.88 | D | 35,221 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Shares (T) 140327F2,F3 | $0.00 | holding | — | — | — | Mar 27, 2018 | — | Ordinary Shares | 9,064 | 9,064 | D |
| Restricted Shares (T) 150330F2,F3 | $0.00 | holding | — | — | — | Mar 30, 2019 | — | Ordinary Shares | 12,896 | 12,896 | D |
| Restricted Shares (T) 130712F2,F3 | $0.00 | holding | — | — | — | Jul 12, 2017 | — | Ordinary Shares | 4,030 | 4,030 | D |
| Restricted Shares (P) 140327F4,F3 | $0.00 | holding | — | — | — | Jan 31, 2017 | — | Ordinary Shares | 36,260 | 36,260 | D |
| Restricted Shares (P) 150330F4,F3 | $0.00 | holding | — | — | — | Jan 31, 2018 | — | Ordinary Shares | 34,390 | 34,390 | D |
Explanation of responses
- F1Shares sold subject to an existing Rule 10b5-1 Sales Plan.
- F2Represents a restricted stock grant which vests in four equal annual installments beginning one year from the grant date.
- F3This restricted stock grant does not have a date of expiration, but will vest pursuant to the predetermined vesting schedule.
- F4Represents a restricted stock 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.