| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/22/2024 |
3. Issuer Name and Ticker or Trading Symbol
STERIS plc [ STE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Ordinary Shares | 2,210(1) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Employee Stock Options (right to buy) | (2) | 05/31/2029 | Ordinary Shares | 2,136 | 147.05 | D | |
| Employee Stock Options (right to buy) | (3) | 06/01/2030 | Ordinary Shares | 3,728 | 182.22 | D | |
| Employee Stock Options (right to buy) | (4) | 06/02/2031 | Ordinary Shares | 2,764 | 210.3 | D | |
| Employee Stock Options (right to buy) | (5) | 06/02/2032 | Ordinary Shares | 4,100 | 250.06 | D | |
| Employee Stock Options (right to buy) | (6) | 05/31/2033 | Ordinary Shares | 4,192 | 219.97 | D | |
| Explanation of Responses: |
| 1. As of February 23, 2024, 2,210 of these ordinary shares are restricted. The restrictions on these ordinary shares lapse as follows: 373 on May 31, 2024; 154 on June 1, 2024; 131 on June 2, 2024; 225 on June 2, 2024; 373 on May 31, 2025; 131 on June 2, 2025; 225 on June 2, 2025; 373 on May 31, 2026; 225 on June 2, 2026. |
| 2. This option is fully vested and exercisable. |
| 3. 2,796 of these options are exercisable. This option becomes exercisable as follows: 932 on June 1, 2024. |
| 4. 1,382 of these options are exercisable. This option becomes exercisable as follows: 691 on June 2, 2024; 691 on June 2, 2025. |
| 5. 1,025 of these options are exercisable. This option becomes exercisable as follows: 1,025 on June 2, 2024; 1,025 on June 2, 2025 and 1,025 on June 1, 2026. |
| 6. This option becomes exercisable as follows: 1,048 on May 31, 2024; 1,048 on May 31, 2025; 1,048 on May 31, 2026 and 1,048 on May 31, 2027. |
| Remarks: |
| Exhibit 24 - Power of Attorney |
| /s/ John P. Ubbing, Authorized Representative under Power of Attorney | 02/23/2024 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||
Securities and Exchange Commission Washington, D.C. 20549 RE: STERIS plc 1933 Act and 1934 Act Filings Authorized Representatives Ladies and Gentlemen: The above Company, a public limited company organized under the laws of Ireland, is the issuer of securities registered under Section 12 of the Securities Exchange Act of 1934. The undersigned confirms, as of the date appearing opposite his/her signature, that each of the “Authorized Representatives” named below is authorized on his/her behalf to sign such statements (on Form 3, Form 4, Form 5, Form 144, Schedule 13G, Form ID (if necessary) or otherwise, collectively, “Forms”) with respect to securities of the Company (the “Securities”), and to submit to the Securities and Exchange Commission such Forms (including reports, notices, and other statements) with respect to the Securities, as are required by the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934 as amended (collectively, the “Acts”). The undersigned also confirms the authority of each of the Authorized Representatives to do and perform, on his/her behalf, any and all acts and things with respect to the Securities requisite or necessary to ensure compliance by the undersigned with the filing requirements of the Acts. This authority revokes all prior authorities with respect to the Securities previously executed by the undersigned including but not limited to any such authorities filed with or given to the Commission by the undersigned. This authority contained herein shall remain in full force and effect until the undersigned is no longer required to file Forms with respect to the undersigned’s holdings of and transactions in the Securities, unless earlier revoked by the undersigned in a signed writing delivered to the Authorized Representatives. Authorized Representatives Monika T. Barrios Rebecca A. Nichols Ronald E. Snyder Michael J. Tokich John P. Ubbing J. Adam Zangerle The undersigned acknowledges that the foregoing Authorized Representatives, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with the Acts. Additionally, although pursuant to this authority, the Authorized Representatives will use commercially reasonable efforts to timely and
accurately file the required Forms on behalf of the undersigned, the Authorized Representatives do not represent or warrant that they will be able to in all cases timely and accurately file such Forms on behalf of the undersigned due to various factors and the undersigned and the Authorized Representatives’ need to rely on others for information, including the undersigned and brokers of the undersigned. Dated: January 24, 2024 By: /s/ Kenneth E. Kohler Signature Kenneth E. Kohler Printed Name