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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 22.83 | 10/04/2017 | M | 12,000 | (4) | 05/21/2019 | Ordinary Shares | 12,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TOKICH MICHAEL J C/O CHANCERY HOUSE, 190 WATERSIDE ROAD HAMILTON INDUSTRIAL PARK LEICESTER, X0 LE5 1QZ |
Sr. Vice Pres., CFO |
/s/ Ronald E. Snyder, Authorized Representative under Power of Attorney | 10/06/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This exercise and sale of a total of 12,000 ordinary shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on August 31, 2017. |
(2) | 26,200 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 4,500 on May 30, 2018; 7,000 on May 28, 2019; 4,000 on October 1, 2019; 4,700 on June 1, 2020 and 6,000 on June 1, 2021. |
(3) | Units representing 3,347 ordinary share equivalents are held on behalf of the Reporting Person under the STERIS Corporation 401(k) Plan as of October 4, 2017. |
(4) | This option to purchase 12,000 STERIS plc ordinary shares, which is fully vested, was received in the Merger in exchange for an option to purchase 12,000 STERIS Corporation common shares for $22.83 per share, subject to the same terms and conditions as the original STERIS Corporation stock option. |