SEC Form 4 · accession 0001415889-16-006448
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Potts
Officer — EVP OF FINANCE, CFO
Period of report
Jul 7, 2016
Accepted (ET)
Jul 11, 2016 · 6:02 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 Shares | holding | — | — | — | 72,498 | 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) 160707F1,F2 | $0.00 | Jul 7, 2016 | A | 76,920 | A | Jan 31, 2019 | — | Ordinary Shares | 76,920 | 76,920 | D |
| Restricted Shares (T) 160707F3,F2 | $0.00 | Jul 7, 2016 | A | 38,460 | A | Jul 7, 2020 | — | Ordinary Shares | 38,460 | 38,460 | D |
| Restricted Shares (P) 150330F1,F2 | $0.00 | holding | — | — | — | Jan 31, 2018 | — | Ordinary Shares | 48,140 | 48,140 | D |
| Restricted Shares (T) 150330F3,F2 | $0.00 | holding | — | — | — | Mar 30, 2019 | — | Ordinary Shares | 18,052 | 18,052 | D |
| Restricted Shares (T) 130329F3,F2 | $0.00 | holding | — | — | — | Mar 29, 2017 | — | Ordinary Shares | 5,678 | 5,678 | D |
| Restricted Shares (P) 140327F1,F2 | $0.00 | holding | — | — | — | Jan 31, 2017 | — | Ordinary Shares | 50,760 | 50,760 | D |
| Restricted Shares (T) 140327F3,F2 | $0.00 | holding | — | — | — | Mar 27, 2018 | — | Ordinary Shares | 12,690 | 12,690 | D |
| Restricted Shares (T) 130712F3,F2 | $0.00 | holding | — | — | — | Jul 12, 2017 | — | Ordinary Shares | 15,650 | 15,650 | D |
Explanation of responses
- F1Represents 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.
- F2This restricted stock grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F3Represents a restricted stock grant which vests in four equal annual installments beginning one year from the grant date.