SEC Form 4 · accession 0001415889-16-006420
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Stanzione
Officer — CHAIRMAN, PRESIDENT AND CEO · Director
Period of report
Jul 7, 2016
Accepted (ET)
Jul 11, 2016 · 5:09 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 | Jun 29, 2016 | J | 34,315 | $0.00 | A | 902,933 | D | |
| Ordinary SharesF1 | Jun 29, 2016 | J | 34,315 | $0.00 | D | 60,950 | I | By 2015 Grantor Retainer Annuity Trust Account |
| Ordinary SharesF2 | Apr 30, 2016 | J | 884 | $19.35 | A | 868,618 | 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 (P) 160707F3,F4 | $0.00 | Jul 7, 2016 | A | 302,630 | A | Jan 31, 2019 | — | Ordinary Shares | 302,630 | 302,630 | D |
| Restricted Shares (T) 160707F5,F4 | $0.00 | Jul 7, 2016 | A | 151,315 | A | Jul 7, 2020 | — | Ordinary Shares | 151,315 | 151,315 | D |
| Restricted Shares (P) 150330F3,F4 | $0.00 | holding | — | — | — | Jan 31, 2018 | — | Common Stock | 154,750 | 154,750 | D |
| Restricted Shares (P) 140327F3,F4 | $0.00 | holding | — | — | — | Jan 31, 2017 | — | Common Stock | 163,160 | 163,160 | D |
Explanation of responses
- F1Represents transfer from indirect to direct beneficial ownership only.
- F2Shares acquired through the ARRIS International plc ESPP.
- F3Represents 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. Date represents vesting date for the award. Amount shown reflects maximum vesting of the award at the 200% level.
- F4This restricted stock grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F5Represents a restricted stock grant which vests in four equal annual installments beginning one year from the grant date.