SEC Form 4 · accession 0001209191-18-009977
STERIS plc · STE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen L Burton
Officer — VP, Controller & CAO
Period of report
Feb 13, 2018
Accepted (ET)
Feb 14, 2018 · 4:54 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, 10 pence par valueF1 | Feb 13, 2018 | M | 1,500 | $31.87 | A | 10,037 | D | |
| Ordinary Shares, 10 pence par valueF2,F3 | Feb 13, 2018 | S | 1,500 | $85.59 | D | 8,537 | D | |
| Ordinary Shares, 10 pence par valueF4 | holding | — | — | — | 323 | I | By 401(k) |
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)F5 | $31.87 | Feb 13, 2018 | M | 1,500 | D | — | May 20, 2020 | Ordinary Shares | 1,500 | 1,300 | D |
Explanation of responses
- F1This exercise of 1,500 ordinary shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on December 5, 2016.
- F2Of the total shares sold, all 1,500 shares were sold pursuant to the above-referenced 10b5-1 plan sale.
- F37,656 of these shares are restricted and vest as follows: 1,000 on April 2, 2018; 972 on May 30, 2018; 764 on May 28, 2019; 700 on October 1, 2019; 1,220 on June 1, 2020 and 3,000 on June 1, 2021.
- F4Based on closing price of $85.65 per share on February 13, 2018.
- F5This option was granted on May 20, 2010 and is fully vested.