SEC Form 4 · accession 0001415889-17-000538
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
Mar 29, 2017
Accepted (ET)
Mar 31, 2017 · 5:32 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 | Mar 29, 2017 | M | 2,955 | $0.00 | A | 34,104 | D | |
| Ordinary SharesF1 | Mar 30, 2017 | M | 2,461 | $0.00 | A | 36,565 | 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) 130329F2,F3,F4 | $0.00 | Mar 29, 2017 | F | 2,723 | D | Mar 29, 2017 | — | Ordinary Shares | 5,678 | 2,955 | D |
| Restricted Shares (T) 130329F2,F1,F4 | $0.00 | Mar 29, 2017 | M | 2,955 | D | Mar 29, 2017 | — | Ordinary Shares | 2,955 | 0 | D |
| Restricted Shares (T) 150330F2,F3,F4 | $0.00 | Mar 30, 2017 | F | 2,268 | D | Mar 30, 2019 | — | Ordinary Shares | 14,186 | 11,918 | D |
| Restricted Shares (T) 150330F2,F1,F4 | $0.00 | Mar 30, 2017 | M | 2,461 | D | Mar 30, 2019 | — | Ordinary Shares | 11,918 | 9,457 | D |
| Restricted Shares (T) 140327F2,F4 | $0.00 | holding | — | — | — | Mar 27, 2018 | — | Ordinary Shares | 7,604 | 4,985 | D |
| Restricted Shares (T) 130712F2,F4 | $0.00 | holding | — | — | — | Jul 12, 2017 | — | Ordinary Shares | 9,341 | 9,341 | 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) 160707F2,F4 | $0.00 | holding | — | — | — | Jul 7, 2020 | — | Ordinary Shares | 30,010 | 30,010 | D |
Explanation of responses
- F1Represents the vested portion of a restricted stock unit grant converting to common stock.
- F2Represents a restricted stock unit 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.
- F3Represents shares withheld to cover payroll tax liability on vesting of previously granted restricted stock units.
- F4This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F5Represents a restricted stock unit 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.