SEC Form 4 · accession 0001415889-18-000021
ARRIS International plc · ARRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip Charles Baldock
Officer — SVP, CHIEF INFORMATION OFFICER
Period of report
Jan 4, 2018
Accepted (ET)
Jan 9, 2018 · 6:05 am EST
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 Shares | Jan 4, 2018 | M | 9,859 | $0.00 | A | 13,529 | D | |
| Ordinary Shares | Jan 4, 2018 | S | 4,930 | $26.11 | D | 8,599 | 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 (S) 160707F1,F2,F3 | $0.00 | Jan 4, 2018 | M | 7,687 | D | Jan 4, 2018 | — | Ordinary Shares | 11,890 | 4,203 | D |
| Restricted Shares (R) 160707F1,F2,F3 | $0.00 | Jan 4, 2018 | M | 2,172 | D | Jan 4, 2018 | — | Ordinary Shares | 3,260 | 1,088 | D |
| Restricted Shares (S) 160707F1,F4,F3 | $0.00 | Jan 4, 2018 | F | 4,203 | D | Jan 4, 2018 | — | Ordinary Shares | 4,203 | 0 | D |
| Restricted Shares (R) 160707F1,F4,F3 | $0.00 | Jan 4, 2018 | F | 1,088 | D | Jan 4, 2018 | — | Ordinary Shares | 1,088 | 0 | D |
| Restricted Shares (T) 160707F5,F3 | $0.00 | holding | — | — | — | Jul 7, 2020 | — | Ordinary Shares | 12,008 | 12,008 | D |
| Restricted Shares (P) 160707F6,F3 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 32,020 | 32,020 | D |
| Restricted Shares (T) 170329F5,F3 | $0.00 | holding | — | — | — | Mar 29, 2012 | — | Ordinary Shares | 14,980 | 14,980 | D |
| Restricted Shares (P) 170329F6,F3 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 29,960 | 29,960 | D |
| Restricted Shares (T) 170329F5,F3 | $0.00 | holding | — | — | — | Mar 29, 2012 | — | Ordinary Shares | 14,980 | 14,980 | D |
| Restricted Shares (P) 170329F6,F3 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 29,960 | 29,960 | D |
Explanation of responses
- F1Represents a restricted stock grant subsequent to the 4 January 2016 combination of ARRIS Group, Inc. ("ARRIS") and Pace plc ("Pace") pursuant to which each of ARRIS and Pace was acquired by a new English holding company, ARRIS International plc (the "Merger"). The granted shares are subject to vesting on the second anniversary of the Merger. Date represents vesting date for the award.
- F2Represents the vested portion of a restricted stock unit grant converting to ordinary shares.
- F3This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F4Represents shares withheld to cover payroll tax liability on vesting of previously granted restricted stock units.
- F5Represents 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.
- F6Represents 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.