SEC Form 4 · accession 0001209191-16-148643
STERIS plc · STE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia L Feldmann
Director
Period of report
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 4:41 pm EST
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 par value | Nov 3, 2016 | M | 2,744 | $34.17 | A | 14,581 | D | |
| Ordinary Shares, 0.10 par valueF1 | Nov 3, 2016 | S | 2,744 | $64.6567 | D | 11,837 | D | |
| Ordinary Shares, 0.10 par value | Nov 4, 2016 | S | 2,000 | $65.4335 | D | 9,837 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock Option (right to buy)F2 | $34.17 | Nov 3, 2016 | M | 2,744 | D | — | Jul 31, 2018 | Ordinary Shares, 0.10 par value | 2,744 | 0 | D |
Explanation of responses
- F1Price reflects a weighted average sale price for multiple transactions ranging from $64.64 to $64.6580 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.
- F2This option to purchase 2,744 New STERIS ordinary shares, which is fully vested, was received in the merger in exchange for an option to purchase 2,744 STERIS common shares for $34.17 per share, subject to the same terms and conditions as the original STERIS stock option.