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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 | ||||||||
Option to Purchase Common Shares | $ 53.52 | 05/30/2014 | A | 9,000 | (6) | 05/30/2024 | Common Shares, No Par Value | 9,000 | $ 0 | 9,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Forsythe Suzanne V 5960 HEISLEY ROAD MENTOR, OH 44060 |
V. P. - Human Resources |
/s/ Dennis P. Patton, Authorized Representative under Power of Attorney | 06/03/2014 | |
**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) | 194 shares were withheld from the 563 restricted shares that vested on May 30, 2014. These 194 shares represent the value of the taxes required to be withheld pursuant to applicable employment or tax laws, as determined by the Issuer. These 563 shares were awarded to Ms. Forsythe on May 30, 2012 as part of an award of 2,250 restricted shares. These vested shares were valued at the NYSE closing market price on May 30, 2014. |
(2) | 58 shares were withheld from the 175 restricted shares that vested on June 2, 2014. These 58 shares represent the value of the taxes required to be withheld pursuant to applicable employment or tax laws, as determined by the Issuer. These 175 shares were awarded to Ms. Forsythe on May 31, 2011 as part of an award of 700 restricted shares. These vested shares were valued at the NYSE closing market price on June 2, 2014. |
(3) | 329 shares were withheld from the 1,000 restricted shares that vested on June 2, 2014. These 329 shares represent the value of the taxes required to be withheld pursuant to applicable employment or tax laws, as determined by the Issuer. These 1,000 shares were awarded to Ms. Forsythe on May 31, 2013 as part of an award of 4,000 restricted shares. These vested shares were valued at the NYSE closing market price on June 2, 2014. |
(4) | 6,350 of these Common Shares are restricted. The restrictions on these Common Shares lapse as follows: 175 on June 1, 2015; 175 on August 11, 2014; 175 on August 11, 2015; 562 on June 1, 2015; 563 on May 31, 2016; 1,000 on June 1, 2015; 1,000 on May 31, 2016; 1,000 on May 31, 2017; 425 on June 1, 2015; 425 on May 30, 2016; 425 on May 30, 2017 and 425 on May 30, 2018. |
(5) | Represents 901.726 units of the STERIS Corporation 401(k) Plan STERIS Stock Fund which equals 882 Common share equivalents as of June 2, 2014. |
(6) | These options become exercisable as follows: 2,250 on May 30, 2015; 2,250 on May 30, 2016; 2,250 on May 30, 2017 and 2,250 on May 30, 2018. |