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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option Exercise | $ 30.84 | 05/21/2013 | M | 4,650 | (5) | 05/21/2018 | Common Shares, No Par Value | 4,650 | $ 0 | 0 | D | ||||
Employee Stock Option Exercise | $ 22.83 | 05/21/2013 | M | 1,500 | 05/21/2013 | 05/21/2019 | Common Shares, No Par Value | 1,500 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AAMOTH WILLIAM L 5960 HEISLEY ROAD MENTOR, OH 44060 |
V P - Corporate Treasurer |
/s/ Dennis P. Patton, Authorized Representative under Power of Attorney | 05/22/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | This represents the average sales price of the shares sold. The actual 27 sales prices ranged from $45.6700 per share to $46.1500 per share. Issuer, upon request by the SEC staff, will provide full information regarding the number of shares sold at each of these 27 sales prices. |
(2) | 5,280 of these Common Shares are restricted. The restrictions on these Common Shares lapse as follows: 2,680 on May 20, 2014, 500 on May 31, 2013, 500 on June 2, 2014, 500 on June 1, 2015, 275 on May 30, 2013, 275 on May 30, 2014, 275 on June 1, 2015 and 275 on May 31, 2016. |
(3) | Represents an investment by Mr. Aamoth in his Vanguard William L. Aamoth - Rollover IRA Brokerage Account. |
(4) | Represents 647.872 units of the STERIS Corporation 401(k) Plan STERIS Stock Fund which equals 634 Common share equivalents as of May 21, 2013. |
(5) | These options became exercisable as follows: 1,162 on May 21, 2009, 1,162 on May 21, 2010, 1,163 on May 21, 2011 and 1,163 on May 21, 2012. |
(6) | This represents the average sales price of the shares sold. The actual 7 sales prices ranged from $45.9800 per share to $46.1500 per share. Issuer, upon request by the SEC staff, will provide full information regarding the number of shares sold at each of these 7 sales prices. |