SEC Form 4/A · accession 0001181431-15-006995
STERIS CORP · STE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert E Moss
Officer — Senior Vice President
Period of report
May 13, 2015
Accepted (ET)
May 15, 2015 · 4:08 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 13, 2015 | M | 9,130 | $30.84 | A | 35,841 | D | |
| Common Shares, No Par ValueF11,F1 | May 13, 2015 | F | 5,792 | $67.49 | D | 30,049 | D | |
| Common Shares, No Par Value | May 13, 2015 | M | 9,000 | $22.83 | A | 39,049 | D | |
| Common Shares, No Par ValueF1 | May 13, 2015 | F | 5,001 | $67.49 | D | 34,048 | D | |
| Common Shares, No Par Value | May 13, 2015 | M | 3,000 | $30.51 | A | 37,048 | D | |
| Common Shares, No Par ValueF1 | May 13, 2015 | F | 1,897 | $67.49 | D | 35,151 | D | |
| Common Shares, No Par Value | May 13, 2015 | M | 11,000 | $31.87 | A | 46,151 | D | |
| Common Shares, No Par ValueF1 | May 13, 2015 | F | 7,638 | $67.49 | D | 38,513 | D | |
| Common Shares, No Par Value | May 13, 2015 | M | 10,875 | $36.09 | A | 49,388 | D | |
| Common Shares, No Par ValueF1 | May 13, 2015 | F | 8,217 | $67.49 | D | 41,171 | D | |
| Common Shares, No Par Value | May 13, 2015 | M | 8,000 | $29.94 | A | 49,171 | D | |
| Common Shares, No Par ValueF1 | May 13, 2015 | F | 5,661 | $67.49 | D | 43,510 | D | |
| Common Shares, No Par Value | May 13, 2015 | M | 2,500 | $45.34 | A | 46,010 | D | |
| Common Shares, No Par ValueF1,F2 | May 13, 2015 | F | 2,069 | $67.49 | D | 43,941 | D | |
| Common Shares, No Par ValueF3 | holding | — | — | — | 13,822 | I | See Footnote Below. |
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 | $30.84 | May 13, 2015 | M | 9,130 | D | — | May 21, 2018 | Common Shares, No Par Value | 9,130 | 0 | D |
| Employee Stock Option (right to buy)F5 | $22.83 | May 13, 2015 | M | 9,000 | D | — | May 21, 2019 | Common Shares, No Par Value | 9,000 | 0 | D |
| Employee Stock Option (right to buy)F6 | $30.51 | May 13, 2015 | M | 3,000 | D | — | Oct 6, 2019 | Common Shares, No Par Value | 3,000 | 0 | D |
| Employee Stock Option (right to buy)F7 | $31.87 | May 13, 2015 | M | 11,000 | D | — | May 20, 2020 | Common Shares, No Par Value | 11,000 | 0 | D |
| Employee Stock Option (right to buy)F8 | $36.09 | May 13, 2015 | M | 10,875 | D | — | May 31, 2021 | Common Shares, No Par Value | 10,875 | 3,625 | D |
| Employee Stock Option (right to buy)F9 | $29.94 | May 13, 2015 | M | 8,000 | D | — | May 30, 2022 | Common Shares, No Par Value | 8,000 | 4,000 | D |
| Employee Stock Option (right to buy)F10 | $45.34 | May 13, 2015 | M | 2,500 | D | — | May 31, 2023 | Common Shares, No Par Value | 2,500 | 7,500 | D |
Explanation of responses
- F1Closing market price on the NYSE on the day on which the cashless stock option transaction occurred.
- F10These options became exercisable as follows: 2,500 on May 31, 2014.
- F11This amended Form 4 is being filed to correct the number of shares required to be withheld in order to cover both the option price and required tax withholding for this cashless exercise of 9,130 shares.
- F25,800 of these Common Shares are restricted. The restrictions on these Common Shares lapse as follows: 800 on June 1, 2015; 800 on June 1, 2015; 1,000 on June 1, 2015; 1,000 on May 31, 2016; 1,000 on May 31, 2017; 600 on June 1, 2015 and 600 on May 30, 2016.
- F3This indirect ownership by Mr. Moss is through the Moss Family Trust, Robert E. Moss and Patricia J. Moss as Co-Trustees dated May 24, 1999.
- F4These options became exercisable as follows: 2,282 on May 21, 2009; 2,283 on May 21, 2010; 2,282 on May 21, 2011 and 2,283 on May 21, 2012.
- F5These options became exercisable as follows: 2,250 on May 21, 2010; 2,250 on May 21, 2011; 2,250 on May 21, 2012 and 2,250 on May 21, 2013.
- F6These options became exercisable as follows: 750 on October 6, 2010; 750 on October 6, 2011; 750 on October 6, 2012 and 750 on October 6, 2013.
- F7These options became exercisable as follows: 2,750 on May 20, 2011; 2,750 on May 20, 2012; 2,750 on May 20, 2013; and 2,750 on May 20, 2014.
- F8These options became exercisable as follows: 3,625 on May 31, 2012; 3,625 on May 31, 2013; and 3,625 on May 31, 2014.
- F9These options became exercisable as follows: 4,000 on May 30, 2013; and 4,000 on May 30, 2014.