SEC Form 4 · accession 0001209191-17-056298

STERIS plc · STE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Sr. Vice Pres., CFO

Period of report

Oct 4, 2017

Accepted (ET)

Oct 6, 2017 · 4:37 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, 10 pence par value^F1	Oct 4, 2017	M	12,000	$22.83	A	59,588	D
Ordinary Shares, 10 pence par value^F1,F2	Oct 4, 2017	S	12,000	$89.75	D	47,588	D
Ordinary Shares, 10 pence par value^F3	holding	—	—		—	3,347	I	See Footnote Below.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F4	$22.83	Oct 4, 2017	M	12,000	D	—	May 21, 2019	Ordinary Shares	12,000	0	D

F1This exercise and sale of a total of 12,000 ordinary shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on August 31, 2017.
F226,200 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 4,500 on May 30, 2018; 7,000 on May 28, 2019; 4,000 on October 1, 2019; 4,700 on June 1, 2020 and 6,000 on June 1, 2021.
F3Units representing 3,347 ordinary share equivalents are held on behalf of the Reporting Person under the STERIS Corporation 401(k) Plan as of October 4, 2017.
F4This option to purchase 12,000 STERIS plc ordinary shares, which is fully vested, was received in the Merger in exchange for an option to purchase 12,000 STERIS Corporation common shares for $22.83 per share, subject to the same terms and conditions as the original STERIS Corporation stock option.