| 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 |
|
|||||||||||||||
| 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*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
ARRIS GROUP INC [ ARRS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
|
3. Date of Earliest Transaction
(Month/Day/Year) 01/31/2012 | ||||||||||||||||||||||||||
|
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
| 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 | ||||||
| Common stock(1) | 01/31/2012 | C | 4,059(2) | A | $0.00 | 71,257 | D | |||
| Restricted stock | 01/31/2012 | C | 4,059(2) | D | $0.00 | 21,774 | D | |||
| Restricted stock | 01/31/2012 | F | 2,400(3) | D | $11.75 | 19,374 | D | |||
| Restricted stock | 01/31/2012 | J | 19,374(4) | D | $0.00 | 0 | D | |||
| Restricted stock(5) | 25,200 | D | ||||||||
| Restricted stock(6) | 13,545 | D | ||||||||
| Restricted stock(7) | 19,374 | D | ||||||||
| Restricted stock(8) | 19,736 | D | ||||||||
| Restricted stock(9) | 35,086 | D | ||||||||
| Restricted stock(10) | 24,910 | D | ||||||||
| Restricted stock(11) | 49,820 | 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 | ||||||||
| Explanation of Responses: |
| 1. Represents the vested portion of a restricted stock grant converting to common stock. |
| 2. Represents a restricted performance stock grant vesting based on Company's share performance under Performance Criteria for the three year period ended 12/31/2011. |
| 3. Represents shares withheld to cover payroll tax liability on partial vesting of previously granted restricted shares |
| 4. Represents cancellation of a portion of a restricted stock grant based upon Company's share performance under the Performance Criteria for the three year period ended 12/31/2011. |
| 5. Represents a restricted stock grant in which 20% vests on December 20, 2009 (the "vesting date") and 10% will vest on each successive anniversary of the vesting date. |
| 6. Represents a restricted stock grant which vests annually in fourths on the anniversary of the grant date, which was March 28, 2008. |
| 7. Represents a restricted stock grant which vests annually in fourths beginning on March 30, 2010(the "vesting date")and on each successive anniversary of the vesting date. |
| 8. Represents a restricted stock grant which vests annually in fourths beginning on March 25, 2011 (the "vesting date") and on each successive anniversary of the vesting dates. |
| 9. Represents a restricted stock grant which is in part performance-based. 8,772 shares of the grant are guaranteed and will vest on 3/25/2011. 0 to 35,086 of the grant are subject to the Company's shareholder return as compared to the NASDAQ Composite shareholder return over the three year period ended 12/31/2012 and will vest on 1/31/2013. |
| 10. Represents a restricted stock grant which vests annually in fourths beginning on March 31, 2012(the "vesting date") and on each successive anniversary of the vesting dates. |
| 11. Represents a restricted stock grant which is performance-based. 0 to 49,820 of the grant are subject to the Company's shareholder return as compared to the NASDAQ Composite shareholder return over the three year period ended 12/31/2013 and will vest on 1/31/2014. |
| Remarks: |
| /s/ John Caezza | 02/02/2012 | |
| ** 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. | ||