SEC Form 4 · accession 0001209191-15-068682
STERIS CORP · STE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard C Breeden
Director
Period of report
Aug 31, 2015
Accepted (ET)
Aug 31, 2015 · 5:57 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 | holding | — | — | — | 25,295 | D | ||
| Common Shares, No Par ValueF1,F2 | holding | — | — | — | 72,242 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common SharesF3 | $64.05 | Aug 31, 2015 | A | 4,110 | A | — | Aug 31, 2025 | Common Shares, No Par Value | 4,110 | 4,110 | D |
| Career Restricted Stock UnitsF4,F5 | — | Aug 31, 2015 | A | 2,068 | A | — | — | Common Shares, No Par Value | 2,068 | 2,068 | D |
Explanation of responses
- F1Richard C. Breeden is the managing member of Breeden Capital Partners LLC, managing member and chairman and chief executive officer of Breeden Capital Management LLC. Breeden Capital Partners LLC is in turn the general partner of Breeden Partners L.P. (the "Fund").
- F2Pursuant to Rule 16a-1(a)(2)(ii)(B) of the Securities Exchange Act of 1934, as amended, Mr. Breeden in his capacity as managing member, as well as chairman and chief executive officer of Breeden Capital Management LLC and as the managing member of Breeden Capital Partners LLC, may be deemed to be the indirect beneficial owner of the shares of common stock of the Issuer (the "Common Stock") owned by the Fund and its General Partner, and may be deemed to have beneficial ownership of all such shares.
- F3These Nonqualified Stock Options are fully vested immediately.
- F4Each Career Restricted Stock Unit represents the right to receive one STERIS Common Share six months after the cessation of the Director's Board service.
- F5These Career Restricted Stock Units are fully vested immediately. They will be settled in STERIS Common shares six months after the cessation of the Director's Board service.