SEC Form 4 · accession 0001415889-17-000035
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
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 4:45 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 SharesF2,F1 | Jan 3, 2017 | S | 4,341 | $30.3369 | D | 15,409 | 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) 140327F3,F4 | $0.00 | holding | — | — | — | Mar 27, 2018 | — | Ordinary Shares | 9,970 | 9,970 | D |
| Restricted Shares (T) 150330F3,F4 | $0.00 | holding | — | — | — | Mar 30, 2019 | — | Ordinary Shares | 14,186 | 14,186 | D |
| Restricted Shares (T) 130329F3,F4 | $0.00 | holding | — | — | — | Mar 29, 2017 | — | Ordinary Shares | 5,678 | 5,678 | D |
| Restricted Shares (T) 130712F3,F4 | $0.00 | holding | — | — | — | Jul 12, 2017 | — | Ordinary Shares | 9,341 | 9,341 | D |
| Restricted Shares (P) 140327F5,F4 | $0.00 | holding | — | — | — | Jan 31, 2017 | — | Ordinary Shares | 39,880 | 39,880 | D |
| Restricted Shares (P) 150330F5,F4 | $0.00 | holding | — | — | — | Jan 31, 2018 | — | Ordinary Shares | 37,830 | 37,830 | D |
| Restricted Shares (P) 160707F5,F4 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 60,020 | 60,020 | D |
| Restricted Shares (T) 160707F3,F4 | $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.
- F2The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.30 to $30.42, 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
- F3Represents a restricted stock grant that vests annually in fourths beginning one year from the date of the award. Date shown reflects the date upon which the award is fully vested.
- F4This restricted stock grant does not have a date of expiration, but will vest pursuant to the predetermined vesting schedule.
- F5Represents 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.