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) 05/07/2019 | 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 | 18,020(1) | D |
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) | (2) | 05/28/2025 | Ordinary Shares | 2,250 | 66.15 | D | |
Employee Stock Option (right to buy) | (3) | 06/01/2026 | Ordinary Shares | 6,000 | 69.72 | D | |
Employee Stock Option (right to buy) | (4) | 05/31/2028 | Ordinary Shares | 14,932 | 114.22 | D |
Explanation of Responses: |
1. 18,020 of these shares are restricted. The restrictions on the ordinary shares lapse as follows: 2,000 on May 28, 2019; 1,500 on May 28, 2019; 3,000 on October 1, 2019; 2,500 on June 1, 2020; 6,500 on May 31, 2021 and 2,520 on May 31, 2022. |
2. This option becomes exercisable as follows: 2,250 on May 28, 2016; 2,250 on May 30, 2017; 2,250 on May 29, 2018 and 2,250 on May 28, 2019. This option was received under the Scheme in exchange for an option to purchase 9,000 STERIS ordinary shares for $66.15 per share, subject to the same terms and conditions as the original Old STERIS stock option. |
3. This option becomes exercisable as follows: 3,000 on June 1, 2017; 3,000 on June 1, 2018; 3,000 on June 3, 2019 and 3,000 on June 1, 2020. This option was received under the Scheme in exchange for an option to purchase 12,000 STERIS ordinary shares for $69.72 per share, subject to the same terms and conditions as the original Old STERIS stock option. |
4. This option becomes exercisable as follows: 3,733 on May 31, 2019; 3,733 on June 1, 2020; 3,733 on June 1, 2021 and 3,733 on May 31, 2022. This option was received under the Scheme in exchange for an option to purchase 14,932 STERIS ordinary shares for $114.22 per share, subject to the same terms and conditions as the original Old STERIS stock option. |
Remarks: |
/s/ Ronald E. Snyder, Authorized Representative under Power of Attorney | 05/16/2019 | |
** 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. |