SEC Form 4 · accession 0001415889-17-000587
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
Apr 3, 2017
Accepted (ET)
Apr 4, 2017 · 5:30 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 | Apr 3, 2017 | S | 1,566 | $26.51 | D | 85,588 | 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) 150330F2,F3 | $0.00 | holding | — | — | — | Jan 31, 2018 | — | Ordinary Shares | 48,140 | 48,140 | D |
| Restricted Shares (T) 150330F4,F3 | $0.00 | holding | — | — | — | Mar 30, 2019 | — | Ordinary Shares | 15,166 | 12,034 | D |
| Restricted Shares (T) 140327F4,F3 | $0.00 | holding | — | — | — | Mar 27, 2018 | — | Ordinary Shares | 9,672 | 6,345 | D |
| Restricted Shares (T) 130712F4,F3 | $0.00 | holding | — | — | — | Jul 12, 2017 | — | Ordinary Shares | 15,650 | 15,650 | D |
| Restricted Shares (P) 160707F2,F3 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 76,920 | 76,920 | D |
| Restricted Shares (T) 160707F4,F3 | $0.00 | holding | — | — | — | Jul 7, 2020 | — | Ordinary Shares | 38,460 | 38,460 | D |
| Restricted Shares (T) 170329F4,F3 | $0.00 | holding | — | — | — | Mar 29, 2021 | — | Ordinary Shares | 30,900 | 30,900 | D |
| Restricted Shares (P) 170329F2,F3 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 61,800 | 61,800 | D |
Explanation of responses
- F1Shares sold subject to an existing Rule 10b5-1 Sales Plan.
- F2Represents 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.
- F3This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F4Represents 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.