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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 | $ 14.25 | 04/07/2010 | M | 4,000 | (5) | 01/18/2011 | Common Shares, No Par Value | 4,000 | $ 0 | 0 | D | ||||
Employee Stock Option Exercise | $ 13.45 | 04/07/2010 | M | 5,000 | (6) | 05/02/2011 | Common Shares, No Par Value | 5,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TOKICH MICHAEL J 5960 HEISLEY ROAD MENTOR, OH 44060 |
SVP & Chief Financial Officer |
Dennis P. Patton, Authorized Representative under Power of Attorney | 04/09/2010 | |
**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) | These open market sales of a total of 4,000 Common Shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on November 12, 2009. |
(2) | These open market sales of a total of 5,000 Common Shares is pursuant to a Rule 10b5-1 Stock Trading Plan entered into by the Reporting Person on November 12, 2009. |
(3) | 9,600 of these Common Shares are restricted. The restrictions on these Common Shares lapse as follows: 1,500 on July 27, 2010, 4,600 on March 14, 2011 and 3,500 on May 21, 2012. |
(4) | Represents 2,003.6297 units of the STERIS Corporation 401(k) Plan STERIS Stock Fund which equals 1,932 Common share equivalents as of April 7, 2010. |
(5) | These options became exercisable as follows: 1,000 on December 18, 2001, 1,000 on December 18, 2002, 1,000 on December 18, 2003 and 1,000 on December 18, 2004. |
(6) | These options became exercisable as follows: 1,750 on April 2, 2004 and 3,250 on April 2, 2005. |