SEC Filings

4
BALDOCK PHILIP CHARLES filed this Form 4 on 01/09/2018
Entire Document
 
SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Baldock Philip Charles

(Last) (First) (Middle)
3871 LAKEFIELD DRIVE

(Street)
SUWANEE GA 30024

(City) (State) (Zip)
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
3. Date of Earliest Transaction (Month/Day/Year)
01/04/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 01/04/2018 M 9,859 A $0 13,529 D
Ordinary Shares 01/04/2018 S 4,930 D $26.11 8,599 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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(1) $0 01/04/2018 M 7,687(2) 01/04/2018 (3) Ordinary Shares 11,890 $0 4,203 D
Restricted Shares (R) 160707(1) $0 01/04/2018 M 2,172(2) 01/04/2018 (3) Ordinary Shares 3,260 $0 1,088 D
Restricted Shares (S) 160707(1) $0 01/04/2018 F 4,203(4) 01/04/2018 (3) Ordinary Shares 4,203 $25.99 0 D
Restricted Shares (R) 160707(1) $0 01/04/2018 F 1,088(4) 01/04/2018 (3) Ordinary Shares 1,088 $25.99 0 D
Restricted Shares (T) 160707(5) $0 07/07/2020 (3) Ordinary Shares 12,008 12,008 D
Restricted Shares (P) 160707(6) $0 01/31/2019 (3) Ordinary Shares 32,020 32,020 D
Restricted Shares (T) 170329(5) $0 03/29/2012 (3) Ordinary Shares 14,980 14,980 D
Restricted Shares (P) 170329(6) $0 01/31/2020 (3) Ordinary Shares 29,960 29,960 D
Restricted Shares (T) 170329(5) $0 03/29/2012 (3) Ordinary Shares 14,980 14,980 D
Restricted Shares (P) 170329(6) $0 01/31/2020 (3) Ordinary Shares 29,960 29,960 D
Explanation of Responses:
1. Represents 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.
2. Represents the vested portion of a restricted stock unit grant converting to ordinary shares.
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 shares withheld to cover payroll tax liability on vesting of previously granted restricted stock units.
5. 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.
6. 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.
/s/ Patrick W. Macken, Attorney-in-Fact 01/08/2018
** 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 Number.