Filing Details
- Accession Number:
- 0001209191-13-055517
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-05 17:02:22
- Reporting Period:
- 2013-12-03
- Filing Date:
- 2013-12-05
- Accepted Time:
- 2013-12-05 17:02:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 924717 | Surmodics Inc | SRDX | Surgical & Medical Instruments & Apparatus (3841) | 411356149 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1412895 | K Bryan Phillips | 9924 West 74Th Street Eden Prairie MN 55344 | Svp, Gen Counsel & Secretary | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-12-03 | 23,243 | $9.25 | 42,997 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-12-03 | 10,735 | $12.40 | 53,732 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-12-03 | 21,263 | $23.47 | 32,469 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2013-12-04 | 16,236 | $22.95 | 16,233 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-12-03 | 23,243 | $0.00 | 23,243 | $9.25 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-12-03 | 10,735 | $0.00 | 10,735 | $12.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,748 | 2017-11-30 | No | 4 | D | Direct | |
| 10,734 | 2018-11-30 | No | 4 | D | Direct |
Footnotes
- The reporting person makes a payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b-5 trading plan adopted by the reporting person.
- Reflects the weighted average price of 16,236 shares of common stock of SurModics, Inc. sold by the reporting person in multiple transactions on December 4, 2013 with the sale prices ranging from $22.59 to $23.415 per share. The reporting person undertakes to provide upon request by the U. S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- The award vests in four equal installments on each of the first four anniversaries of the November 30, 2010 grant date.
- The award vests in four equal installments on each of the first four anniversaries of the November 30, 2011 grant date.
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