Statement of Changes in Beneficial Ownership (4)
November 09 2020 - 4:36PM
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
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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
*
Rosebrough Walter M Jr |
2. Issuer Name and Ticker or Trading Symbol
STERIS plc
[
STE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
C/O 70 SIR JOHN ROGERSON'S QUAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/5/2020 |
(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 | | G | | 4897 | D | $0.00 | 71405 | D | |
Ordinary Shares | 11/6/2020 | | S | | 2337 | D | $180.60 (1) | 69068 | D | |
Ordinary Shares | 11/6/2020 | | S | | 6363 | D | $181.52 (2) | 62705 | D | |
Ordinary Shares | 11/6/2020 | | S | | 1300 | D | $182.19 (3) | 61405 (4)(5) | 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 |
Explanation of Responses: |
(1) | Price reflects a weighted average sale price for multiple transactions ranging from $179.98 to $180.97 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 $181.02 to $182.00 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) | Price reflects a weighted average sale price for multiple transactions ranging from $182.03 to $182.49 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. |
(4) | These 61,405 ordinary shares are held by the reporting person as trustee of a revocable trust established for his benefit. |
(5) | 26,853 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 4,000 on June 1, 2021; 3,097 on June 1, 2021; 2,597 on June 1, 2021; 2,217 on June 1, 2021; 3,097 on May 31, 2022; 2,597 on May 31, 2022; 2,217 on June 1, 2022; 2,597 on May 31, 2023; 2,217 on June 1, 2023; and 2,217 on June 3, 2024. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rosebrough Walter M Jr C/O 70 SIR JOHN ROGERSON'S QUAY DUBLIN, L2 2 | X |
| President & CEO |
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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 |
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