Statement of Changes in Beneficial Ownership (4)
November 09 2020 - 4:33PM
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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Burton Karen L |
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)
VP, Controller & CAO |
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(Last)
(First)
(Middle)
C/O 70 SIR JOHN ROGERSON'S QUAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/5/2020 |
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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 | 11/5/2020 | | M | | 2852 | A | $0.00 | 10746 | D | |
| Ordinary Shares | 11/5/2020 | | S | | 2852 | D | $179.38 (1) | 7894 | D | |
| Ordinary Shares | 11/5/2020 | | S | | 1750 | D | $179.48 (2) | 6144 (3) | D | |
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) | $66.15 | 11/5/2020 | | M | | 2852 | | (4) | 5/28/2025 | Ordinary Shares | 2852 | $0.00 | 0 | D | |
| Explanation of Responses: |
| (1) | Price reflects a weighted average sale price for multiple transactions ranging from $179.05 to $179.78 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. |
| (2) | Price reflects a weighted average sale price for multiple transactions ranging from $179.40 to $179.70 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. |
| (3) | 6,144 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 3,000 on June 1, 2021; 1,332 on May 31, 2022; 396 on June 1, 2022; 765 on May 31, 2022; 255 on May 31, 2023; 198 on June 1, 2023 and 198 on June 3, 2024. |
| (4) | This option to purchase 2,852 STERIS ordinary shares, which are fully vested, which 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 2,852 Old STERIS ordinary shares for $66.15 per share, subject to the same terms and conditions as the original Old STERIS stock option, except as otherwise required by law. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Burton Karen L
C/O 70 SIR JOHN ROGERSON'S QUAY
DUBLIN, L2 2 |
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| VP, Controller & CAO |
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Signatures
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| /s/ Ronald E. Snyder, Authorized Representative under Power of Attorney | | 11/9/2020 |
| **Signature of Reporting Person | Date |
STERIS (NYSE:STE)
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