- Securities Registration: Employee Benefit Plan (S-8)
August 11 2009 - 1:18PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on August 11, 2009
Registration No. 333-
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Arris Group, Inc.
(Exact name of issuer as specified in its charter)
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Delaware
(State or other jurisdiction of
incorporation or organization)
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58-2588724
(I.R.S. Employer
Identification No.)
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3871 Lakefield Drive
Suwanee, Georgia 30024
(Address of principal executive offices)
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30097
(Zip Code)
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Arris Group, Inc. Employee Stock Purchase Plan
(Full title of the plan)
Lawrence A. Margolis
Arris Group, Inc.
3871 Lakefield Drive
Suwanee, Georgia 30024
(678) 473-2000
(Name, address and telephone number, including area code, of agent for service)
The Commission is requested to mail signed copies of all orders, notices and communications to:
W. Brinkley Dickerson, Jr.
Troutman Sanders LLP
600 Peachtree Street, Suite 5200
Atlanta, Georgia 30308
(404) 885-3000
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated filer or a smaller reporting company. See the definitions of large accelerated
filer, accelerated filer and smaller reporting company in Rule 12b-2 of the Exchange Act.
(Check one):
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Large accelerated filer
x
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Accelerated filer
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Non-accelerated filer
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Smaller reporting company
o
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(Do not check if a smaller reporting company)
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CALCULATION OF REGISTRATION FEE
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Proposed maximum
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Proposed
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Title of each class of
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Amount to be
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offering price per
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maximum aggregate
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Amount of
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securities to be registered
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registered(1)
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share(2)
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offering price(2)
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registration fee
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Common Stock, par value
$0.01(3)
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2,000,000 shares
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$
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12.64
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$
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25,280,000
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$
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1,411
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(1)
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Pursuant to Rule 416(a) under the Securities Act of 1933 (the Securities Act), includes an
indeterminate number of additional shares that may be offered and issued to prevent dilution
resulting from stock splits, stock dividends or similar transactions.
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(2)
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Estimated solely for the purpose of calculating the registration fee, in accordance with Rule
457 (h)(1) on the average of the high and low sales prices of $12.86 and $12.41 per share for
Arris Group, Inc. common stock (Common Stock) (ticker symbol ARRS) on the Nasdaq National
Market System on August 7, 2009.
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(3)
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Includes Preferred Stock Purchase Rights. Prior to the occurrence of certain events, the
Rights will not be exercisable or evidenced separately from the Common Stock.
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TABLE OF CONTENTS
Explanatory Note
Arris Group, Inc. (the Company) is filing this registration statement on Form S-8 to
register 2,000,000 additional shares of Company common stock authorized for issuance under the
Employee Stock Purchase Plan (the Plan). The authorization of issuance of such additional shares
was approved by the Company stockholders at the annual meeting on May 21, 2009. The Plan is an
amendment and restatement of the Companys Amended and Restated Employee Stock Purchase Plan, with
respect to which the Company filed, on June 6, 2003, a registration statement on Form S-8
(registration statement number 333-105909) with the Securities and Exchange Commission (the
Commission). The total number of shares of Company common stock issuable under the Plan is
3,800,000, which includes the 2,000,000 shares of Company common stock registered on this
registration statement and 1,800,000 shares of previously registered Company common stock.
Part I Information Required in the Section 10(a) Prospectus
The documents constituting Part I of this Registration Statement have been or will be sent or
given to participants in the Plan as specified by Rule 428(b)(1) under the Securities Act. These
documents and the documents incorporated by reference into this Registration Statement, taken
together, constitute a prospectus that meets the requirements of Section 10(a) of the Securities
Act.
Upon written or oral request, Arris Group, Inc. (the Company) will provide, without charge,
the documents incorporated by reference in Item 3 of the Part II of this Registration Statement.
The registrant also will provide, without charge, upon written or oral request, other documents
required to be delivered to employees pursuant to Rule 428(b) under the Securities Act. Requests
for the above-mentioned information should be directed to Human Resources, Arris Group, Inc., 3871
Lakefield Drive, Suwanee, Georgia 30024, telephone number (678) 473-2000.
Part II Information Required in the Registration Statement
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Item 3.
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Incorporation of Documents by Reference
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The following documents filed with the Securities and Exchange Commission are hereby
incorporated by reference into this registration statement as of their respective dates of filing:
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(a)
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The Companys Annual Report on Form 10-K for the period ending December 31,
2008, filed February 27, 2009;
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(b)
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The Companys Quarterly Report on Form 10-Q for the period ending June 30,
2009, filed August 10, 2009;
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(c)
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The Companys Quarterly Report on Form 10-Q for the period ending March 31,
2009, filed May 8, 2009;
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(d)
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The Companys Current Report on Form 8-K, filed June 24, 2009;
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(e)
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The Companys Current Report on Form 8-K, filed April 15, 2009;
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(g)
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The Companys Current Report on Form 8-K, filed March 4, 2009;
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(h)
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The Companys proxy statement filed April 20, 2009;
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(i)
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The description of the Companys Common Stock, par value $0.01, contained in
the Companys Registration Statement on Form 8-A, as filed on August 23, 2001, as
amended by the Companys Registration Statement on Form 8-A/A as filed on August 7,
2001, including any amendments or reports filed for the purpose of updating such
descriptions; and
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(j)
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The description of the Companys preferred stock purchase rights contained in
the Companys Registration Statement on Form 8-A/A, as filed on October 3, 2002,
including any amendments or reports filed for the purpose of updating such description.
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2
All documents filed subsequent to the date of this registration statement by the Company
pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934 (the
Exchange Act) prior to the filing of a post-effective amendment hereto which indicates that all
securities offered hereby have been sold or which deregisters any securities then remaining unsold,
shall also be deemed to be incorporated by reference in this registration statement and to be a
part hereof from their respective dates of filing.
Any statement contained in a document incorporated or deemed to be incorporated by reference
herein shall be deemed to be modified or superseded for purposes of this registration statement to
the extent that a statement contained herein, or in any other subsequently filed document that also
is or is deemed to be incorporated by reference herein, modifies or supersedes such statement. Any
statement contained in this registration statement shall be deemed to be modified or superseded to
the extent that a statement contained in a subsequently filed document which is or is deemed to be
incorporated by reference herein modifies or supersedes such statement. Any statement so modified
or superseded shall not be deemed, except as so modified or superseded, to constitute a part of
this registration statement.
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Item 4.
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Description of Securities
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Not applicable.
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Item 5.
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Interests of Named Experts and Counsel
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Not applicable.
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Item 6.
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Indemnification of Directors and Officers
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The Company is a Delaware corporation. Reference is made to Section 145 of the Delaware
General Corporation Law, as amended (the GCL), which provides that a corporation may indemnify
any person who was or is a party or is threatened to be made a party to any threatened, pending or
completed action or proceeding, whether civil, criminal, administrative or investigative (other
than an action by or in the right of such corporation), by reason of the fact that such person is
or was a director, officer, employee or agent of the corporation, or is or was serving at its
request in such capacity of another corporation or business organization against expenses
(including attorneys fees), judgments, fines and amounts paid in settlement actually and
reasonably incurred by such person in connection with such action, suit or proceeding if such
person acted in good faith and in a manner such person reasonably believed to be in or not opposed
to the best interest of the corporation, and, with respect to any criminal action or proceeding,
had no reasonable cause to believe that such persons conduct was unlawful. A Delaware corporation
may indemnify officers and directors in any action by or in the right of a corporation under the
same conditions, except that no indemnification is permitted without judicial approval if the
officer or director is adjudged to be liable to the corporation. Where an officer or director is
successful on the merits or otherwise in the defense of any action referred to above, the
corporation must indemnify him against the expenses (including attorneys fees) that such officer
or director actually and reasonably incurred.
Reference is also made to Section 102(b)(7) of the GCL, which permits a corporation to provide
in its certificate of incorporation that a director of the corporation shall not be personally
liable to the corporation or its stockholders for monetary damages for breach of fiduciary duty as
a director, except for liability (i) for any breach of the directors duty of loyalty to the
corporation or its stockholders, (ii) for acts or omissions not in good faith or which involve
intentional misconduct or a knowing violation of law, (iii) under Section 174 of the GCL (having to
do with unlawful payment of dividends or unlawful
stock purchase redemptions) or (iv) for any transaction from which the director derived an
improper personal benefit.
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The certificate of incorporation of the Company provides for the elimination of personal
liability of a director for breach of fiduciary duty as permitted by Section 102(b)(7) of the GCL
and the by-laws of the Company provide that the Company shall indemnify its directors and officers
to the full extent permitted by Section 145 of the GCL.
The Company has directors and officers liability insurance that insures the directors and
officers of the Company against certain liabilities.
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Item 7.
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Exemption from Registration Claimed
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Not applicable.
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(A)
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The following exhibits are filed as part of this Registration Statement:
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Exhibit
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Number
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4.1
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ARRIS Group, Inc. Amended and Restated Employee Stock Purchase Plan,
incorporated by reference to Appendix A of the Companys Definitive Proxy Statement
filed with the Commission on April 20, 2009.
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5.1
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Opinion of Troutman Sanders LLP.
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23.1
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Consent of Ernst & Young LLP, independent registered public accounting firm.
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23.2
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Consent of Troutman Sanders LLP, included in the opinion filed as Exhibit 5.1 hereto
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24.1
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Power of Attorney (included in the signature page of this Registration Statement).
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(a)
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Rule 415 offerings
. The undersigned registrant hereby undertakes:
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(1) To file, during any period in which offers or sales are being made, a
post-effective amendment to this registration statement:
(i) To include any prospectus required by Section 10(a)(3) of the Securities
Act of 1933;
(ii) To reflect in the prospectus any facts or events arising after the
effective date of the registration statement (or the most recent post-effective
amendment thereof) which, individually or in the aggregate, represent a fundamental
change in the information set forth in the registration statement. Notwithstanding
the foregoing, any increase or decrease in volume of securities offered (if the
total dollar value of securities offered would not exceed that which was registered)
and any deviation from the low or high end of the estimated maximum offering range
may be reflected in the form of prospectus filed with the Commission pursuant to
Rule 424(b) if, in the aggregate, the changes in volume and price represent no more
than 20 percent change in the maximum
aggregate offering price set forth in the Calculation of Registration Fee table in
the effective registration statement.
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(iii) To include any material information with respect to the plan of
distribution not previously disclosed in the registration statement or any material
change to such information in the registration statement;
provided, however
, that paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the
registration statement is on Form S-3, Form S-8 or Form F-3, and the information
required to be included in a post-effective amendment by those paragraphs is
contained in periodic reports filed with or furnished to the Commission by the
registrant pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
that are incorporated by reference in the registration statement.
(2) That, for the purpose of determining any liability under the Securities Act of
1933, each such post-effective amendment shall be deemed to be a new registration
statement relating to the securities offered therein, and the offering of such
securities at that time shall be deemed to be the initial
bona fide
offering
thereof.
(3) To remove from registration by means of a post-effective amendment any of the
securities being registered which remain unsold at the termination of the offering.
(b)
Filings incorporating subsequent Exchange Act documents by reference
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undersigned registrant hereby undertakes that, for purposes of determining any liability under the
Securities Act of 1933, each filing of the registrants annual report pursuant to Section 13(a) or
Section 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an
employee benefit plans annual report pursuant to Section 15(d) of the Securities Exchange Act of
1934) that is incorporated by reference in the registration statement shall be deemed to be a new
registration statement relating to the securities offered therein, and the offering of such
securities at that time shall be deemed to be the initial bona fide offering thereof.
(c)
Filing of registration statement on Form S-8
. Insofar as indemnification for
liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and
controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the
registrant has been advised that in the opinion of the Commission such indemnification is against
public policy as expressed in the Securities Act of 1933 and is, therefore, unenforceable. In the
event that a claim for indemnification against such liabilities (other than the payment by the
registrant of expenses incurred or paid by a director, officer or controlling person of the
registrant in the successful defense of any action, suit or proceeding) is asserted by such
director, officer or controlling person in connection with the securities being registered, the
registrant will, unless in the opinion of its counsel the matter has been settled by controlling
precedent, submit to a court of appropriate jurisdiction the question whether such indemnification
by it is against public policy as expressed in the Securities Act of 1933 and will be governed by
the final adjudication of such issue.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it
has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and
has duly caused this registration statement to be signed on its behalf by the undersigned,
thereunto duly authorized, in the City of Suwanee, Georgia, on this 11th day of August, 2009.
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ARRIS GROUP, INC.
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By:
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/s/ Robert J. Stanzione
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Robert J. Stanzione
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President and Chief Executive Officer
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KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below constitutes and
appoints Robert J. Stanzione, Lawrence Margolis and David Potts, and each of them, such persons
true and lawful attorney-in-fact and agent, with full powers of substitution and resubstitution,
for such person and in his or her name, place and stead, in any and all capacities, to sign any and
all amendments to this registration statement (including any post-effective amendments thereto),
and to file the same, with all exhibits thereto, and other documents in connection therewith with
the Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power
and authority to do and to perform each and every act and thing requisite and necessary to be done
in and about the premises, as fully and to all intents and purposes as he or she might or would do
in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or their
substitutes may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, this registration statement, as
amended, has been signed by the following persons in the capacities indicated below on this 11th
day of August, 2009.
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Signature
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Title
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/s/ Robert J. Stanzione
Robert J. Stanzione
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President, Chief Executive Officer (Principal
Executive Officer) and Director
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/s/ David B. Potts
David B. Potts
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Executive Vice President,
Chief Financial Officer (Principal Financial
Officer) and Chief Accounting Officer
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/s/ Lawrence A. Margolis
Lawrence A. Margolis
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Executive Vice President,
Administration, Legal, HR, and Strategy,
Chief Counsel, and Secretary
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/a/ Alex B. Best
Alex B. Best
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Director
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/s/ Harry L. Bosco
Harry L. Bosco
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Director
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/s/James A. Chiddix
James A. Chiddix
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Director
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Director
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/s/ Matthew B. Kearney
Matthew B. Kearney
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Director
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/s/ William H. Lambert
William H. Lambert
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Director
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/s/ John R. Petty
John R. Petty
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Director
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/s/ David A. Woodle
David A. Woodle
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Director
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Exhibit Index
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Exhibit
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Number
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4.1
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ARRIS Group, Inc. Amended and Restated Employee Stock Purchase Plan,
incorporated by reference to Appendix A of the Companys Definitive Proxy Statement
filed with the Commission on April 20, 2009.
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5.1
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Opinion of Troutman Sanders LLP.
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23.1
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Consent of Ernst & Young LLP, independent registered public accounting firm.
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23.2
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Consent of Troutman Sanders LLP, included in the opinion filed as Exhibit 5 hereto.
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24.1
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Power of Attorney (included in the signature page of this Registration Statement).
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