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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 (right to buy) | $ 69.72 | 06/01/2016 | A | 30,000 | (5) | 06/01/2026 | Ordinary Shares, 0.10 | 30,000 | $ 0 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TOKICH MICHAEL J C/O CHANCERY HOUSE, 190 WATERSIDE ROAD HAMILTON INDUSTRIAL PARK LEICESTER, X0 LE5 1QZ |
SVP, CFO & Treasurer |
/s/ J. Adam Zangerle, Authorized Representative under Power of Attorney | 06/02/2016 | |
**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) | 3,322 shares were withheld from the 7,000 restricted shares that vested on May 31, 2016. These 3,322 ordinary shares represent the value of the taxes required to be withheld pursuant to applicable employment or tax laws, as determined by the Issuer. These 7,000 ordinary shares were awarded to Mr. Tokich on May 30, 2012. These vested shares were valued at the NYSE closing market price on May 31, 2016. |
(2) | All 4,000 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 4,000 on October 1, 2020. |
(3) | All 4,700 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 4,700 on June 1, 2020. |
(4) | Represents 3,186.505 units of the STERIS Corporation 401(k) Plan STERIS Stock Fund which equals 3,116 ordinary share equivalents as of June 1, 2016. |
(5) | This option becomes exercisable as follows: 7,500 on June 1, 2017; 7,500 on June 1, 2018; 7,500 on June 3, 2019 and 7,500 on June 1, 2020. |