SEC Form 4 · accession 0001415889-17-001166
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Stanzione
Officer — EXECUTIVE CHAIRMAN · Director
Period of report
Apr 28, 2017
Accepted (ET)
Jul 11, 2017 · 8:30 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 28, 2017 | J | 899 | $22.09 | A | 847,120 | D | |
| Ordinary SharesF2 | Jun 15, 2017 | J | 35,924 | $0.00 | D | 25,026 | I | By 2015 Grantor Retainer Annuity Trust Account |
| Ordinary SharesF2 | Jun 15, 2017 | J | 35,924 | $0.00 | A | 883,044 | D | |
| Ordinary SharesF3 | Jul 7, 2017 | M | 19,689 | $0.00 | A | 902,733 | 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) 160707F4,F5,F6 | $0.00 | Jul 7, 2017 | F | 18,139 | D | Jul 7, 2017 | — | Ordinary Shares | 151,315 | 133,176 | D |
| Restricted Shares (T) 160707F4,F3,F6 | $0.00 | Jul 7, 2017 | M | 19,689 | D | Jul 7, 2017 | — | Ordinary Shares | 113,487 | 113,487 | D |
| Restricted Shares (P) 150330F7,F6 | $0.00 | holding | — | — | — | Jan 31, 2018 | — | Ordinary Shares | 154,750 | 154,750 | D |
| Restricted Shares (T) 170329F4,F6 | $0.00 | holding | — | — | — | Mar 29, 2021 | — | Ordinary Shares | 30,900 | 30,900 | D |
| Restricted Shares (P) 170239F7,F6 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 61,800 | 61,800 | D |
| Restricted Shares (P) 160707F6 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 302,630 | 302,630 | D |
Explanation of responses
- F1Shares acquired through the ARRIS International plc ESPP.
- F2Represents transfer from indirect to direct beneficial ownership only.
- F3Represents the vested portion of a restricted stock unit grant converting to ordinary shares.
- 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.
- F5Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units.
- F6This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F7Represents 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.