SEC Form 4 · accession 0001415889-17-001178
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Doreen A Toben
Director
Period of report
Jul 7, 2017
Accepted (ET)
Jul 11, 2017 · 8:31 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 | Jul 7, 2017 | M | 7,000 | $0.00 | A | 8,400 | 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) 160707F2,F1,F3 | $0.00 | Jul 7, 2017 | M | 7,000 | D | Jul 7, 2017 | — | Ordinary Shares | 7,000 | 0 | D |
| Deferred Ordinary SharesF4,F5 | $0.00 | holding | — | — | — | — | — | Ordinary Shares | 8,000 | 8,000 | D |
| Restricted Shares (T) 170701F2,F3 | $0.00 | holding | — | — | — | Jul 1, 2018 | — | Ordinary Shares | 5,700 | 5,700 | D |
Explanation of responses
- F1Represents the vested portion of a restricted stock unit grant converting to ordinary shares.
- F2Represents a restricted stock grant which fully vests one year from the grant date.
- F3This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F4Represents ordinary shares which are fully vested but are not exercisable. Owner has deferred receipt of this holding until owner's separation from the company.
- F5This holding does not have a date of expiration, but its receipt is deferred until owner's separation from the company.