Statement of Changes in Beneficial Ownership (4)
November 14 2017 - 10:29AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Baldock Philip Charles
|
2. Issuer Name
and
Ticker or Trading Symbol
ARRIS International plc
[
ARRS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
SVP, CHIEF INFORMATION OFFICER
|
(Last)
(First)
(Middle)
3871 LAKEFIELD DRIVE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/31/2017
|
(Street)
SUWANEE, GA 30024
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Ordinary Shares
|
10/31/2017
|
|
J
|
V
|
271
(1)
|
A
|
$22.09
|
3670
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Restricted Shares (S) 160707
(2)
|
$0
|
|
|
|
|
|
|
1/4/2018
|
(3)
|
Ordinary Shares
|
11890
|
|
11890
|
D
|
|
Restricted Shares (R) 160707
(2)
|
$0
|
|
|
|
|
|
|
1/4/2018
|
(3)
|
Ordinary Shares
|
3260
|
|
3260
|
D
|
|
Restricted Shares (T) 160707
(4)
|
$0
|
|
|
|
|
|
|
7/7/2020
|
(3)
|
Ordinary Shares
|
14675
|
|
12008
|
D
|
|
Restricted Shares (P) 160707
(5)
|
$0
|
|
|
|
|
|
|
1/31/2019
|
(3)
|
Ordinary Shares
|
32020
|
|
32020
|
D
|
|
Restricted Shares (T) 170329
(4)
|
$0
|
|
|
|
|
|
|
3/29/2012
|
(3)
|
Ordinary Shares
|
14980
|
|
14980
|
D
|
|
Restricted Shares (P) 170329
(5)
|
$0
|
|
|
|
|
|
|
1/31/2020
|
(3)
|
Ordinary Shares
|
29960
|
|
29960
|
D
|
|
Restricted Shares (T) 170329
(4)
|
$0
|
|
|
|
|
|
|
3/29/2012
|
(3)
|
Ordinary Shares
|
14980
|
|
14980
|
D
|
|
Restricted Shares (P) 170329
(5)
|
$0
|
|
|
|
|
|
|
1/31/2020
|
(3)
|
Ordinary Shares
|
29960
|
|
29960
|
D
|
|
Explanation of Responses:
|
(1)
|
Shares acquired through the ARRIS International plc ESPP.
|
(2)
|
In connection with the planned transaction between ARRIS Group, Inc. and Pace plc, pursuant to Section 4985 of the Code, an excise tax may be imposed on the ARRIS officers. To avoid the excise tax becoming due on such equity awards, the ARRIS board of directors approved the accelerated vesting of certain equity awards. The number here represents shares of ARRIS acquired pursuant to the accelerated vesting.
|
(3)
|
This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
|
(4)
|
Represents 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.
|
(5)
|
Represents 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.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Baldock Philip Charles
3871 LAKEFIELD DRIVE
SUWANEE, GA 30024
|
|
|
SVP, CHIEF INFORMATION OFFICER
|
|
Signatures
|
/s/ Patrick W. Macken, Attorney-in-Fact
|
|
11/14/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
ARRIS International plc (NASDAQ:ARRS)
Historical Stock Chart
From Mar 2024 to Apr 2024
ARRIS International plc (NASDAQ:ARRS)
Historical Stock Chart
From Apr 2023 to Apr 2024