SEC Form 4 · accession 0001209191-16-154432
STERIS plc · STE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel A Carestio
Officer — Sr. V. P., Isomedix & Life Sci
Period of report
Dec 8, 2016
Accepted (ET)
Dec 9, 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 | Dec 8, 2016 | M | 2,225 | $29.94 | A | 20,025 | D | |
| Ordinary Shares, 0.10 par valueF1,F2 | Dec 8, 2016 | S | 2,225 | $67.5383 | D | 17,800 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $29.94 | Dec 8, 2016 | M | 2,225 | D | — | May 30, 2022 | Ordinary Shares, 0.10 | 2,225 | 0 | D |
Explanation of responses
- F1This represents the average sales price of the 2,225 shares sold in the open market. The actual sales prices ranged from $67.50 per share to $67.72 per share. Issuer, upon request by the SEC staff, will provide full information regarding the number of shares sold at each of these eight sales prices.
- F217,800 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 3,300 on May 31, 2017; 4,000 on May 30, 2018, 5,000 on May 28, 2019, 3,000 on October 1, 2019 and 2,500 on June 1, 2020.
- F3This option is fully exercisable. This option was received in the merger in exchange for an option to purchase 2,225 STERIS common shares for $29.94 per share, subject to the same terms and conditions as the original STERIS stock option.