Statement of Changes in Beneficial Ownership (4)
14 October 2020 - 7:35AM
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
*
TOKICH MICHAEL J |
2. Issuer Name and Ticker or Trading Symbol
STERIS plc
[
STE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr. Vice Pres., CFO |
(Last)
(First)
(Middle)
C/O 70 SIR JOHN ROGERSON'S QUAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/8/2020 |
(Street)
DUBLIN, L2 2
(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 | 10/8/2020 | | M | | 80 | A | $53.52 | 45602 (1) | D | |
Ordinary Shares | 10/8/2020 | | S | | 80 (2) | D | $187.00 | 45522 (1) | D | |
Ordinary Shares | 10/9/2020 | | M | | 27920 | A | $53.52 | 73442 (1) | D | |
Ordinary Shares | 10/9/2020 | | S | | 6000 (3) | D | $187.17 (4) | 67442 (1) | D | |
Ordinary Shares | 10/9/2020 | | S | | 15677 (5) | D | $188.24 (6) | 51765 (1) | D | |
Ordinary Shares | 10/9/2020 | | S | | 6243 (7) | D | $189.00 (8) | 45522 (1) | D | |
Ordinary Shares | | | | | | | | 3453 | I | See Footnote Below (9) |
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 |
Employee Stock Option (right to buy) | $53.52 | 10/8/2020 | | M | | 80 | | (10) | 5/30/2024 | Ordinary Shares | 80 | $0.00 | 27920 | D | |
Employee Stock Option (right to buy) | $53.52 | 10/9/2020 | | M | | 27920 | | (10) | 5/30/2024 | Ordinary Shares | 27920 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | 15,472 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 6,000 on June 1, 2021; 4,240 on May 31, 2022; 2,780 on May 31, 2023 and 2,452 on June 3, 2024. |
(2) | This exercise of stock options and sale of a total of 80 ordinary shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on June 2, 2020. |
(3) | This exercise of stock options and sale of a total of 6,000 ordinary shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on June 2, 2020. |
(4) | Price reflects a weighted average sale price for multiple transactions ranging from $186.61 to $187.59 per share, inclusive. The Reporting Person undertakes to provide, upon request by the SEC Staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(5) | This exercise of stock options and sale of a total of 15,677 ordinary shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on June 2, 2020. |
(6) | Price reflects a weighted average sale price for multiple transactions ranging from $187.6950 to $188.68 per share, inclusive. The Reporting Person undertakes to provide, upon request by the SEC Staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(7) | This exercise of stock options and sale of a total of 6,243 ordinary shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on June 2, 2020. |
(8) | Price reflects a weighted average sale price for multiple transactions ranging from $188.6950 to $189.2850 per share, inclusive. The Reporting Person undertakes to provide, upon request by the SEC Staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(9) | Units representing 3,453 ordinary share equivalents are held on behalf of the Reporting Person under the STERIS 401(k) Plan as of October, 2020. |
(10) | This option to purchase 28,000 STERIS ordinary shares, which is fully vested, was received in conjunction with the Redomiciliation of the entity organized under the laws of the U.K. and formerly named STERIS plc ("Old STERIS") in exchange for an option to purchase 28,000 Old STERIS ordinary shares for $53.52 per share, subject to the same terms and conditions as the original Old STERIS stock option, except as otherwise required by law. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TOKICH MICHAEL J C/O 70 SIR JOHN ROGERSON'S QUAY DUBLIN, L2 2 |
|
| Sr. Vice Pres., CFO |
|
Signatures
|
/s/ Ronald E. Snyder, Authorized Representative under Power of Attorney | | 10/13/2020 |
**Signature of Reporting Person | Date |
STERIS (NYSE:STE)
Historical Stock Chart
From Apr 2024 to May 2024
STERIS (NYSE:STE)
Historical Stock Chart
From May 2023 to May 2024