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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) | $ 29.94 | 12/08/2016 | M | 2,225 | (3) | 05/30/2022 | Ordinary Shares, 0.10 | 2,225 | (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carestio Daniel A C/O CHANCERY HOUSE, 190 WATERSIDE ROAD HAMILTON INDUSTRIAL PARK LEICESTER, X0 LE5 1QZ |
Sr. V. P., Isomedix & Life Sci |
/s/ Ronald E. Snyder, Authorized Representative under Power of Attorney | 12/09/2016 | |
**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) | This represents the average sales price of the 2,225 shares sold in the open market. The actual sales prices ranged from $67.50 per share to $67.72 per share. Issuer, upon request by the SEC staff, will provide full information regarding the number of shares sold at each of these eight sales prices. |
(2) | 17,800 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 3,300 on May 31, 2017; 4,000 on May 30, 2018, 5,000 on May 28, 2019, 3,000 on October 1, 2019 and 2,500 on June 1, 2020. |
(3) | This option is fully exercisable. This option was received in the merger in exchange for an option to purchase 2,225 STERIS common shares for $29.94 per share, subject to the same terms and conditions as the original STERIS stock option. |