SEC Form 4 · accession 0001181431-15-006798
STERIS CORP · STE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Allen Johnson
Officer — Sr. VP. Surgical Solutions
Period of report
May 8, 2015
Accepted (ET)
May 11, 2015 · 8:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000815065
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, No Par Value | May 8, 2015 | M | 7,500 | $31.87 | A | 28,526 | D | |
| Common Shares, No Par ValueF1 | May 8, 2015 | F | 4,811 | $68.13 | D | 23,715 | D | |
| Common Shares, No Par Value | May 8, 2015 | M | 8,250 | $36.09 | A | 31,965 | D | |
| Common Shares, No Par ValueF1 | May 8, 2015 | F | 5,645 | $68.13 | D | 26,320 | D | |
| Common Shares, No Par Value | May 8, 2015 | M | 5,000 | $29.94 | A | 31,320 | D | |
| Common Shares, No Par ValueF1 | May 8, 2015 | F | 3,118 | $68.13 | D | 28,202 | D | |
| Common Shares, No Par Value | May 8, 2015 | M | 750 | $45.34 | A | 28,952 | D | |
| Common Shares, No Par ValueF1,F6 | May 8, 2015 | F | 582 | $68.13 | D | 28,370 | 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)F2 | $31.87 | May 8, 2015 | M | 7,500 | D | — | May 20, 2020 | Common Shares, No Par Value | 7,500 | 0 | D |
| Employee Stock Option (right to buy)F3 | $36.09 | May 8, 2015 | M | 8,250 | D | — | May 31, 2021 | Common Shares, No Par Value | 8,250 | 2,750 | D |
| Employee Stock Option (right to buy)F4 | $29.94 | May 8, 2015 | M | 5,000 | D | — | May 30, 2022 | Common Shares, No Par Value | 5,000 | 5,000 | D |
| Employee Stock Option (right to buy)F5 | $45.34 | May 8, 2015 | M | 750 | D | — | May 31, 2023 | Common Shares, No Par Value | 750 | 2,250 | D |
Explanation of responses
- F1Closing market price on the NYSE on the day on which the cashless stock option transaction occurred.
- F2These options became exercisable as follows: 1,875 on May 20, 2011; 1,875 on May 20, 2012; 1,875 on May 20, 2013; and 1,875 on May 20, 2014.
- F3These options became exercisable as follows: 2,750 on May 31, 2012; 2,750 on May 31, 2013; and 2,750 on May 31, 2014.
- F4These options became exercisable as follows: 2,500 on May 30, 2013; and 2,500 on May 30, 2014.
- F5These options became exercisable as follows: 750 on May 31, 2014.
- F619,200 of these Common Shares are restricted. The restrictions on these Common Shares lapse as follows: 3,700 on June 1, 2015; 3,500 on May 31, 2016; 7,000 May 31, 2017; 3,750 on May 30, 2017 and 1,250 on May 30, 2018.