SEC Form 4 · accession 0001415889-16-007178
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald Coppock
Officer — PRES, INTL SALES AND MARKETING
Period of report
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 5:00 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 | Sep 19, 2016 | S | 5,000 | $29.00 | D | 19,750 | 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 | 9,970 | 9,970 | D |
| Restricted Shares (T) 150330F2,F3 | $0.00 | holding | — | — | — | Mar 30, 2019 | — | Ordinary Shares | 14,186 | 14,186 | D |
| Restricted Shares (T) 130329F2,F3 | $0.00 | holding | — | — | — | Mar 29, 2017 | — | Ordinary Shares | 5,678 | 5,678 | D |
| Restricted Shares (T) 130712F2,F3 | $0.00 | holding | — | — | — | Jul 12, 2017 | — | Ordinary Shares | 9,341 | 9,341 | D |
| Restricted Shares (P) 140327F4,F3 | $0.00 | holding | — | — | — | Jan 31, 2017 | — | Ordinary Shares | 39,880 | 39,880 | D |
| Restricted Shares (P) 150330F4,F3 | $0.00 | holding | — | — | — | Jan 31, 2018 | — | Ordinary Shares | 37,830 | 37,830 | D |
| Restricted Shares (P) 160707F4,F3 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 60,020 | 60,020 | D |
| Restricted Shares (T) 160707F2,F3 | $0.00 | holding | — | — | — | Jul 7, 2020 | — | Ordinary Shares | 30,010 | 30,010 | 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.