# EDGAR Filing Document

**Accession Number:** 0001822479
**File Stem:** 0001822479-23-000021
**Filing Date:** 2023-3
**Character Count:** 8222
**Document Hash:** e81c9204aebb75dcf9e57796bd949b86
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001822479-23-000021.hdr.sgml**: 20230308

**ACCESSION NUMBER**: 0001822479-23-000021

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230306

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230308

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Petras Michael B. Jr.
- **CENTRAL INDEX KEY:** 0001832387

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39729
- **FILM NUMBER:** 23717359

**MAIL ADDRESS:**
- **STREET 1:** 9100 SOUTH HILLS BLVD
- **STREET 2:** SUITE 300
- **CITY:** BROADVIEW HEIGHTS
- **STATE:** OH
- **ZIP:** 44147
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Sotera Health Co
- **CENTRAL INDEX KEY:** 0001822479
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090]
- **IRS NUMBER:** 473531161
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 9100 SOUTH HILLS BLVD, SUITE 300
- **CITY:** BROADVIEW HEIGHTS
- **STATE:** OH
- **ZIP:** 44147
- **BUSINESS PHONE:** 440-262-1410

**MAIL ADDRESS:**
- **STREET 1:** 9100 SOUTH HILLS BLVD, SUITE 300
- **CITY:** BROADVIEW HEIGHTS
- **STATE:** OH
- **ZIP:** 44147

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Sotera Health Topco, Inc.
- **DATE OF NAME CHANGE:** 20200824

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Petras Michael B. Jr.<br><sub>(Last) (First) (Middle)</sub><br>C/O SOTERA HEALTH COMPANY<br>9100 SOUTH HILLS BLVD, SUITE 300<br><sub>(Street)</sub><br>BROADVIEW HEIGHTS, OH 44147<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-06 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chairman & CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Sotera Health Co [ SHC ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, $0.01 par value per share ("Common Stock") | 2023-03-06 |  | A |  | 213189<sup>(1)</sup> | A | $0 | 584668<sup>(2)</sup> | D |  |
| Common Stock<sup>(3)</sup> |  |  |  |  |  |  |  | 6377185 | I | By Grantor Trust |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Options | $17.59 | 2023-03-06 |  | A |  | 404094 |  | <sup>(4)</sup> | 2033-03-06 | Common Stock | 404094.0 | $0 | 404094<sup>(4)</sup> | D |  |
| Stock Options<sup>(3)</sup> | $23.0 |  |  |  |  |  |  | <sup>(5)</sup> | 2030-11-20 | Common Stock | 1118012.0 |  | 1118012 | D |  |
| Stock Options<sup>(3)</sup> | $20.03 |  |  |  |  |  |  | <sup>(6)</sup> | 2032-03-02 | Common Stock | 478932.0 |  | 478932 | D |  |
| Stock Options<sup>(3)</sup> | $6.37 |  |  |  |  |  |  | <sup>(7)</sup> | 2032-11-07 | Common Stock | 2108356.0 |  | 2108356 | D |  |

---

### Footnotes:

(1) These securities consist of Restricted Stock Units ("RSUs") that were granted on March 6, 2023, pursuant to the terms of an RSU agreement under the Sotera Health Company 2020 Omnibus Incentive Plan ("2020 Incentive Plan"). Each RSU represents the Reporting Person's right to receive one share of Common Stock, subject to vesting conditions. The RSUs vest annually in three equal installments commencing March 2, 2024.

(2) These securities consist of 468,436 RSUs and 116,232 shares of Common Stock.

(3) No transaction is being reported on this line. Reported on a previously filed Form 4.

(4) These options were granted on March 6, 2023, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest annually in three equal installments commencing March 2, 2024, subject to vesting conditions.

(5) These options were granted on November 20, 2020, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest in four equal installments on each of the first four anniversaries of the date of grant, subject to vesting conditions.

(6) These options were granted on March 2, 2022, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest in three equal installments on each of the first three anniversaries of the date of grant, subject to vesting conditions.

(7) These options were granted on November 7, 2022, pursuant to the terms of a stock option agreement under the 2020 Incentive Plan. The options vest in three installments, as follows: 30%, 30%, and 40% of the options vest on each of the 12-month, 18-month, and 24-month anniversaries, respectively, of the date of grant, subject to vesting conditions.

**Remarks:**
The Power of Attorney for Mr. Petras is filed as an exhibit to the Form 3 filed on November 20, 2020, which is hereby incorporated by reference.

**Signature:** /s/ Jessica L. M. H. Epp, Attorney-in-Fact  
**Date:** 2023-03-08

### Remarks:

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 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).

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.**