Filing Details
- Accession Number:
- 0001209191-18-037481
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-13 16:37:55
- Reporting Period:
- 2018-06-11
- Accepted Time:
- 2018-06-13 16:37:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1286125 | W Charles Olson | 9924 West 74Th Street Eden Prairie MN 55344 | Senior Vp Of Bus Dev, Med Dev | 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 | 2018-06-11 | 4,280 | $23.95 | 39,955 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-06-11 | 9,963 | $20.25 | 49,918 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-11 | 9,484 | $55.40 | 40,434 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2018-06-11 | 10,000 | $55.00 | 30,434 | 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 | Employee Stock Option (right to buy) | Disposition | 2018-06-11 | 4,280 | $0.00 | 4,280 | $23.95 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-06-11 | 9,963 | $0.00 | 9,963 | $20.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,841 | 2023-11-30 | No | 4 | M | Direct | |
| 9,964 | 2022-12-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 800 | Indirect | By IRA |
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 10,000 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on June 11, 2018 with sale prices ranging from $55.00 to $55.05 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.
- The award vests in four equal installments on each of the first four anniversaries of the November 30, 2016 grant date.
- The award vests in four equal installments on each of the first four anniversaries of the December 17, 2015 grant date.
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