Statement of Changes in Beneficial Ownership (4)
2019年3月23日 - 6:33AM
Edgar (US Regulatory)
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FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
McCaffery Stephen J.
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2. Issuer Name
and
Ticker or Trading Symbol
ARRIS International plc
[
ARRS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
PRESIDENT, INTERNATIONAL SALES
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(Last)
(First)
(Middle)
3871 LAKEFIELD DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/20/2019
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(Street)
SUWANEE, GA 30024
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Ordinary Shares
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3/20/2019
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M
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7460
(1)
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A
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$0
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25588
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Shares
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$0
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3/20/2019
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F
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1265
(2)
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3/30/2019
(3)
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(4)
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Ordinary Shares
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1265
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$31.64
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1745
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D
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Restricted Shares
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$0
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3/20/2019
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F
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1967
(2)
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3/29/2021
(3)
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(4)
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Ordinary Shares
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1967
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$31.64
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12077
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D
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Restricted Shares
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$0
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3/20/2019
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F
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2174
(2)
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3/30/2022
(3)
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(4)
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Ordinary Shares
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2174
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$31.64
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18526
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D
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Restricted Shares
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$0
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3/20/2019
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M
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1745
(1)
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3/30/2019
(3)
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(4)
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Ordinary Shares
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1745
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$0
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0
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D
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Restricted Shares
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$0
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3/20/2019
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M
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2714
(1)
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3/29/2021
(3)
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(4)
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Ordinary Shares
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2714
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$0
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9363
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D
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Restricted Shares
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$0
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3/20/2019
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M
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3001
(1)
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3/30/2022
(3)
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(4)
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Ordinary Shares
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3001
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$0
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15525
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D
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Restricted Shares
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$0
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1/31/2020
(5)
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(4)
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Ordinary Shares
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37450
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37450
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D
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Restricted Shares
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$0
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1/31/2021
(5)
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(4)
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Ordinary Shares
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41400
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41400
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D
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Restricted Shares
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$0
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1/31/2019
(5)
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(4)
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Ordinary Shares
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21930
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21930
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D
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Restricted Shares
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$0
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7/7/2020
(3)
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(4)
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Ordinary Shares
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5483
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5483
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D
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Explanation of Responses:
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(1)
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Effective March 20, 2019, the Compensation Committee accelerated the vesting of the Restricted Stock Units indicated. Any remaining vesting dates will remain on the anniversary of the original grant date.
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(2)
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Represents shares cash cancelled to cover payroll tax liability on vesting of previously granted restricted stock units.
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(3)
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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.
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(4)
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This restricted stock unit grant does not have a date of expiration, but will fully vest pursuant to the predetermined vesting schedule.
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(5)
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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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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McCaffery Stephen J.
3871 LAKEFIELD DRIVE
SUWANEE, GA 30024
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PRESIDENT, INTERNATIONAL SALES
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Signatures
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/s/ Patrick W. Macken, attorney-in-fact
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3/22/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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ARRIS International plc (NASDAQ:ARRS)
過去 株価チャート
から 11 2024 まで 12 2024
ARRIS International plc (NASDAQ:ARRS)
過去 株価チャート
から 12 2023 まで 12 2024
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