SEC Form 4 · accession 0001415889-17-001455
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce William McClelland
Officer — CEO · Director
Period of report
Sep 1, 2017
Accepted (ET)
Sep 6, 2017 · 4:45 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 | Sep 1, 2017 | M | 3,623 | $0.00 | A | 214,158 | 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) 160901F2,F3,F4 | $0.00 | Sep 1, 2017 | F | 3,339 | D | Sep 1, 2020 | — | Ordinary Shares | 27,850 | 24,511 | D |
| Restricted Shares (T) 160901F2,F1,F4 | $0.00 | Sep 1, 2017 | M | 3,623 | D | Sep 1, 2020 | — | Ordinary Shares | 24,511 | 20,888 | D |
| Restricted Shares (T) 140327F2,F4 | $0.00 | holding | — | — | — | Mar 27, 2018 | — | Ordinary Shares | 5,438 | 5,438 | D |
| Restricted Shares (T) 150330F2,F4 | $0.00 | holding | — | — | — | Mar 30, 2019 | — | Ordinary Shares | 10,317 | 10,317 | D |
| Restricted Shares (P) 150330F5,F4 | $0.00 | holding | — | — | — | Jan 31, 2018 | — | Ordinary Shares | 41,270 | 41,270 | D |
| Restricted Shares (P) 160707F5,F4 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 63,050 | 63,050 | D |
| Restricted Shares (T) 160707F2,F4 | $0.00 | holding | — | — | — | Jul 7, 2020 | — | Ordinary Shares | 23,644 | 23,644 | D |
| Restricted Shares (P) 160901F5,F4 | $0.00 | holding | — | — | — | Sep 1, 2019 | — | Ordinary Shares | 55,700 | 55,700 | D |
| Restricted Shares (T) 170329F2,F4 | $0.00 | holding | — | — | — | Mar 29, 2021 | — | Ordinary Shares | 61,800 | 61,800 | D |
| Restricted Shares (P) 170329F5,F4 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 123,600 | 123,600 | D |
Explanation of responses
- F1Represents the vested portion of a restricted stock unit grant converting to ordinary shares.
- 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 cash cancelled 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.