Filing Details
- Accession Number:
- 0001209191-18-036051
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-06 16:21:14
- Reporting Period:
- 2018-05-21
- Accepted Time:
- 2018-06-06 16:21:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1487121 | J. Joseph Stich | 9924 West 74Th Street Eden Prairie MN 55344 | Vp And Gm, Ivd | 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 | Disposition | 2018-05-21 | 2,000 | $0.00 | 51,554 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2018-06-04 | 13,266 | $20.37 | 64,820 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-04 | 8,901 | $51.55 | 55,919 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2018-06-05 | 890 | $52.00 | 55,029 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-06-05 | 1,110 | $52.79 | 53,919 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-06-04 | 13,266 | $0.00 | 13,266 | $20.37 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-12-12 | No | 4 | M | 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.
- Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 2018.
- Reflects the weighted average price of 890 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on June 5, 2018 with sale prices ranging from $51.55 to $52.40 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.
- Reflects the weighted average price of 1,110 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on June 5, 2018 with sale prices ranging from $52.65 to $53.05 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.
- Fully vested.
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