SEC Form 4 · accession 0001209191-16-137777
STERIS plc · STE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter M Rosebrough Jr.
Officer — President & CEO · Director
Period of report
Aug 16, 2016
Accepted (ET)
Aug 18, 2016 · 4:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001624899
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares, 0.10 Nominal ValueF1,F2,F3 | Aug 16, 2016 | S | 5,000 | $71.3809 | D | 115,924 | D | |
| Ordinary Shares, 0.10 Nominal ValueF4,F5,F6 | Aug 16, 2016 | S | 5,000 | $71.3844 | D | 5,000 | I | See Footnote Below |
| Ordinary Shares, 0.10 Nominal ValueF7,F8,F6 | Aug 17, 2016 | S | 5,000 | $70.4779 | D | 0 | I | See Footnote Below |
| Ordinary Shares, 0.10 Nominal ValueF9 | holding | — | — | — | 68,806 | I | See Footnote Below. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction involved the open market sale on August 16, 2016 of a total of 5,000 shares, held by the Reporting Person as Trustee of a revocable trust established for his benefit, pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person, as Trustee, effective on September 1, 2015.
- F2This represents the average sales price of the 5,000 shares sold. The actual 27 sales prices ranged from $71.07 per share to $71.70 per share. Issuer, upon request by the SEC staff, will provide full information regarding the number of shares sold at each of these 27 sales prices.
- F3These 115,924 ordinary shares are held by the Reporting Person as Trustee of a revocable trust established for his benefit. 44,349 of these Ordinary Shares are restricted. The restrictions on the restricted Ordinary Shares lapse as follows: 6,250 on May 31, 2017; 4,250 on May 30, 2017; 4,250 on May 30, 2018; 3,625 on May 29, 2017; 3,625 on May 28, 2018; 3,625 on May 28, 2019; 4,681 on June 1, 2017; 4,681 on June 1, 2018; 4,681 on June 3, 2019; and 4,681 on June 1, 2020.
- F4This transaction involved the open market sale on August 16, 2016 of a total of 5,000 shares, held by the Reporting Person as Trustee, from an irrevocable trust established for the benefit of the children of the Reporting Person and the Reporting Person's Spouse, pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person, as Trustee, effective on September 1, 2015.
- F5This represents the average sales price of the 5,000 shares sold. The actual 30 sales prices ranged from $71.07 per share to $71.70 per share. Issuer, upon request by the SEC staff, will provide full information regarding the number of shares sold at each of these 30 sales prices.
- F6These ordinary shares are held by the Reporting Person as Trustee of an irrevocable trust established for the benefit of the children of the Reporting Person and the Reporting Person's Spouse.
- F7This transaction involved the open market sale on August 17, 2016 of a total of 5,000 shares, held by the Reporting Person as Trustee, from an irrevocable trust established for the benefit of the children of the Reporting Person and the Reporting Person's Spouse, pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person, as Trustee, effective on September 1, 2015.
- F8This represents the average sales price of the 5,000 shares sold. The actual 26 sales prices ranged from $70.31 per share to $70.99 per share. Issuer, upon request by the SEC staff, will provide full information regarding the number of shares sold at each of these 26 sales prices.
- F9These ordinary shares are held by the Reporting Person's Spouse as Trustee of a revocable trust established for her benefit.