SEC Form 4 · accession 0001415889-16-007443
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
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 4:48 pm EST
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 | Nov 14, 2016 | S | 10,000 | $29.0173 | D | 25,221 | 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 |
| Restricted Shares (T) 160707F2,F3 | $0.00 | holding | — | — | — | Jul 7, 2020 | — | Ordinary Shares | 25,220 | 25,220 | D |
| Restricted Shares (P) 160707F4,F3 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 50,440 | 50,440 | D |
Explanation of responses
- F1The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.86 to $29.18, 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 ranges set forth in this footnote
- 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 fully 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.