Statement of Changes in Beneficial Ownership (4)
June 03 2020 - 4:35PM
Edgar (US Regulatory)
FORM 4
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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
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3235-0287
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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
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TOKICH MICHAEL J |
2. Issuer Name and Ticker or Trading Symbol
STERIS plc
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STE
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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)
Sr. Vice Pres., CFO |
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(Last)
(First)
(Middle)
C/O 70 SIR JOHN ROGERSON'S QUAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2020 |
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(Street)
DUBLIN, L2 2
(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 | 6/1/2020 | | A | | 2452 (1) | A | $0.00 | 46976 | D | |
| Ordinary Shares | 6/1/2020 | | D | | 1454 (2) | D | $165.65 | 45522 (3) | D | |
| Ordinary Shares | | | | | | | | 3437 | I | See Footnote Below (4) |
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) | 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) | $182.22 | 6/1/2020 | | A | | 44472 | | (5) | 6/1/2030 | Ordinary Shares | 44472 | $0.00 | 44472 | D | |
| Explanation of Responses: |
| (1) | All 2,452 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse on June 3, 2024. |
| (2) | 1,454 shares were withheld from the 4,700 restricted shares that vested on June 1, 2020. These 1,454 shares represent the value of the taxes required to be withheld pursuant to applicable employment or tax laws, as determined by the Issuer. These 4,700 ordinary shares were awarded to Mr. Tokich on June 1, 2016. These vested shares were valued at the NYSE closing market price on June 1, 2020. |
| (3) | 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. |
| (4) | Units representing 3,437 ordinary share equivalents are held on behalf of the Reporting Person under the STERIS Corporation 401(k) Plan as of June 1, 2020. |
| (5) | This option becomes exercisable as follows: 11,118 on June 1, 2021; 11,118 on June 1, 2022; 11,118 on June 1, 2023 and 11,118 on June 3, 2024. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
TOKICH MICHAEL J
C/O 70 SIR JOHN ROGERSON'S QUAY
DUBLIN, L2 2 |
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| Sr. Vice Pres., CFO |
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Signatures
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| /s/ Ronald E. Snyder, Authorized Representative under Power of Attorney | | 6/3/2020 |
| **Signature of Reporting Person | Date |
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