SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/26/2017 | 3. Issuer Name and Ticker or Trading Symbol Steris plc [ STE ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Ordinary Shares, 0.10 par value | 8,726(1) | D | |
Ordinary Shares, 0.10 par value | 319(2) | I | By 401(k) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (3) | 05/21/2018 | Ordinary Shares | 475 | 30.84 | D | |
Employee Stock Option (right to buy) | (4) | 05/20/2020 | Ordinary Shares | 3,800 | 31.87 | D | |
Employee Stock Option (right to buy) | (5) | 05/31/2021 | Ordinary Shares | 3,800 | 36.09 | D | |
Employee Stock Option (right to buy) | (6) | 05/30/2022 | Ordinary Shares | 3,700 | 29.94 | D | |
Employee Stock Option (right to buy) | (7) | 05/31/2023 | Ordinary Shares | 4,040 | 45.34 | D | |
Employee Stock Option (right to buy) | (8) | 05/30/2024 | Ordinary Shares | 3,400 | 53.52 | D | |
Employee Stock Option (right to buy) | (9) | 05/28/2025 | Ordinary Shares | 2,852 | 66.15 | D | |
Employee Stock Option (right to buy) | (10) | 06/01/2026 | Ordinary Shares | 2,600 | 69.72 | D |
Explanation of Responses: |
1. 5,956 of these shares are restricted and vest as follows: 1,300 on May 31, 2017; 1,000 on April 2, 2018; 972 on May 30, 2018; 764 on May 28, 2019; 700 on October 1, 2019 and 1,220 on June 1, 2020. |
2. Based on closing price of February 2, 2017. |
3. This option was granted as part of an award of 2,100 ordinary shares on May 21, 2008, 1,625 of which has been exercised. |
4. This option was granted on May 20, 2010 and is fully vested. |
5. This option was granted on May 31, 2011 and is fully vested. |
6. This option was granted on May 30, 2012 and is fully vested. |
7. This option was granted on May 31, 2013 and is exerciseable in four equal amounts as follows: 1,010 on May 31, 2014, 1,010 on May 31, 2015, 1,010 on May 31, 2016 and 1,010 on May 31, 2017. |
8. This option was granted on May 30, 2014 and is exerciseable in four equal amounts as follows: 850 on May 30, 2015, 850 on May 30, 2016, 850 on May 30, 2017 and 850 on May 30, 2018. |
9. This option was granted on May 28, 2015 and is exerciseable in four equal amounts as follows: 713 on May 28, 2016, 713 on May 30, 2017, 713 on May 29, 2018 and 713 on May 28, 2019. |
10. This option was granted on June 1, 2016 and is exerciseable in four equal amounts as follows: 650 on June 1, 2017, 650 on June 1, 2018, 650 on June 3, 2019 and 650 on June 1, 2020. |
Remarks: |
Vice President, Controller and Chief Accounting Officer Exhibit 24 - Power of Attorney |
/s/ Ronald E. Snyder, Authorized Representative under Power of Attorney | 02/03/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |