SEC Form 4 · accession 0001209191-18-046805
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
Aug 14, 2018
Accepted (ET)
Aug 15, 2018 · 4:30 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 valueF1 | Aug 14, 2018 | M | 1,300 | $31.87 | A | 9,704 | D | |
| Ordinary Shares, 10 pence par valueF2,F3 | Aug 14, 2018 | S | 1,300 | $114.39 | D | 8,404 | 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)F4 | $31.87 | Aug 14, 2018 | M | 1,300 | D | — | May 20, 2020 | Ordinary Shares | 1,300 | 0 | D |
Explanation of responses
- F1This exercise of 1,300 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 1,300 shares were sold pursuant to the above-referenced 10b5-1 plan sale.
- F37,016 of these shares are restricted and vest as follows: 764 on May 28, 2019; 700 on October 1, 2019; 1,220 on June 1, 2020; 3,000 on June 1, 2021; and 1,332 on May 31, 2022.
- F4This option was granted on May 20, 2010 and is fully vested.