SEC Form 4 · accession 0001415889-18-000521
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
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 9:00 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 | Mar 29, 2018 | M | 2,608 | $0.00 | A | 11,207 | D | |
| Ordinary SharesF2 | Mar 29, 2018 | S | 1,304 | $26.30 | D | 9,903 | 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) 170329F3,F1,F4 | $0.00 | Mar 29, 2018 | M | 2,608 | D | Mar 29, 2012 | — | Ordinary Shares | 14,980 | 12,372 | D |
| Restricted Shares (T) 170329F3,F5,F4 | $0.00 | Mar 29, 2018 | F | 1,137 | D | Mar 29, 2012 | — | Ordinary Shares | 12,372 | 11,235 | D |
| Restricted Shares (T) 160707F3,F4 | $0.00 | holding | — | — | — | Jul 7, 2020 | — | Ordinary Shares | 12,008 | 12,008 | D |
| Restricted Shares (P) 160707F6,F4 | $0.00 | holding | — | — | — | Jan 31, 2019 | — | Ordinary Shares | 32,020 | 32,020 | D |
| Restricted Shares (P) 170329F6,F4 | $0.00 | holding | — | — | — | Jan 31, 2020 | — | Ordinary Shares | 29,960 | 29,960 | D |
Explanation of responses
- F1Represents the vested portion of a restricted stock unit grant converting to ordinary shares.
- F2Shares sold subject to an existing Rule 10b5-1 Sales Plan.
- F3Represents 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.
- F4This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
- F5Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units.
- 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.