0001209191-19-021572.txt : 20190328 0001209191-19-021572.hdr.sgml : 20190328 20190328102333 ACCESSION NUMBER: 0001209191-19-021572 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190328 FILED AS OF DATE: 20190328 DATE AS OF CHANGE: 20190328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zangerle John Adam CENTRAL INDEX KEY: 0001578804 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37614 FILM NUMBER: 19710411 MAIL ADDRESS: STREET 1: 5960 HEISLEY ROAD CITY: MENTOR STATE: OH ZIP: 44060 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STERIS plc CENTRAL INDEX KEY: 0001624899 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 981203539 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: RUTHERFORD HOUSE STREET 2: STEPHENSONS WAY CITY: DERBY STATE: X0 ZIP: DE21 6LY BUSINESS PHONE: (440) 354-2600 MAIL ADDRESS: STREET 1: RUTHERFORD HOUSE STREET 2: STEPHENSONS WAY CITY: DERBY STATE: X0 ZIP: DE21 6LY FORMER COMPANY: FORMER CONFORMED NAME: Steris plc DATE OF NAME CHANGE: 20151102 FORMER COMPANY: FORMER CONFORMED NAME: New STERIS Ltd DATE OF NAME CHANGE: 20141125 FORMER COMPANY: FORMER CONFORMED NAME: Solar New HoldCo Ltd DATE OF NAME CHANGE: 20141112 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-03-28 1 0001624899 STERIS plc STE 0001578804 Zangerle John Adam C/O RUTHERFORD HOUSE, STEPHENSONS WAY CHADDESDEN DERBY X0 DE21 6LY UNITED KINGDOM 0 1 0 0 Sr. VP, Gen Counsel, and Sec. Ordinary Shares, 10 pence par value 2019-03-28 4 D 0 30796 D 0 D Employee Stock Option (right to buy) 45.34 2019-03-28 4 D 0 3000 D 2023-05-31 Ordinary Shares 3000 0 D Employee Stock Option (right to buy) 53.52 2019-03-28 4 D 0 12252 D 2024-05-30 Ordinary Shares 12252 0 D Employee Stock Option (right to buy) 67.98 2019-03-28 4 D 0 8000 D 2025-08-10 Ordinary Shares 8000 0 D Employee Stock Option (right to buy) 69.72 2019-03-28 4 D 0 15000 D 2026-06-01 Ordinary Shares 15000 0 D Employee Stock Option (right to buy) 77.07 2019-03-28 4 D 0 14000 D 2027-05-30 Ordinary Shares 14000 0 D Employee Stock Option (right to buy) 114.22 2019-03-28 4 D 0 21536 D 2028-05-31 Ordinary Shares 21536 0 D 19,136 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 3,000 on May 28, 2019; 4,000 on October 1, 2019; 2,500 on June 1, 2020; 6,000 on June 1, 2021 and 3,636 on May 31, 2022. Represents ordinary shares of STERIS plc, a public limited company organized under the laws of England and Wales ("Old STERIS"), cancelled pursuant to a court-approved scheme of arrangement under English law (the "Scheme"). In connection with the Scheme, the reporting person received ordinary shares of STERIS plc, a public limited company organized under the laws of Ireland ("STERIS"), in an amount equal to the number of the reporting person's cancelled Old STERIS shares. The reporting person's STERIS shares will be subject to terms and conditions, including restrictions, substantially identical to those that were applicable to the Old STERIS shares. Following the completion of the Scheme, STERIS became the ultimate holding company of Old STERIS. This option is fully vested. This option was assumed by STERIS under the Scheme and converted to an option to purchase 3,000 ordinary shares of STERIS for $45.34 per share, subject to the same terms and conditions that were applicable to the original Old STERIS option. This option was initially granted as an option to purchase 6,000 ordinary shares. On January 25, 2019, the reporting person exercised this option for 3,000 ordinary shares pursuant to a Rule 10b5-1 Stock Trading Plan, entered into by the reporting person on November 9, 2018. This option is fully vested. This option was assumed by STERIS under the Scheme and converted to an option to purchase 12,252 ordinary shares of STERIS for $53.52 per share, subject to the same terms and conditions that were applicable to the original Old STERIS option. This option will become exercisable as follows: 2,000 on May 28, 2016; 2,000 on May 28, 2017; 2,000 on May 28, 2018 and 2,000 on May 28, 2019. This option was assumed by STERIS under the Scheme and converted to an option to purchase 8,000 ordinary shares of STERIS for $67.98 per share, subject to the same terms and conditions that were applicable to the original Old STERIS option. This option becomes exercisable as follows: 3,750 on June 1, 2017; 3,750 on June 1, 2018; 3,750 on June 3, 2019 and 3,750 on June 1, 2020. This option was assumed by STERIS under the Scheme and converted to an option to purchase 15,000 ordinary shares of STERIS for $69.72 per share, subject to the same terms and conditions that were applicable to the original Old STERIS option. This option becomes exercisable as follows: 3,500 on May 30, 2018; 3,500 on May 30, 2019; 3,500 on June 1, 2020 and 3,500 on June 1, 2021. This option was assumed by STERIS under the Scheme and converted to an option to purchase 14,000 ordinary shares of STERIS for $77.07 per share, subject to the same terms and conditions that were applicable to the original Old STERIS option. This option becomes exercisable as follows: 5,384 on May 31, 2019; 5,384 on June 1, 2020; 5,384 on June 1, 2021 and 5,384 on May 31, 2022. This option was assumed by STERIS under the Scheme and converted to an option to purchase 21,536 ordinary shares of STERIS for $114.22 per share, subject to the same terms and conditions that were applicable to the original Old STERIS option. /s/ Ronald E. Snyder, Authorized Representative under Power of Attorney 2019-03-28