SEC Form 4 · accession 0001209191-15-069918
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J. Stich
Officer — VP, Bus Ops & GM, IVD
Period of report
Sep 4, 2015
Accepted (ET)
Sep 9, 2015 · 4:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000924717
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Sep 4, 2015 | S | 1,000 | $23.5725 | D | 22,464 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 21, 2015.
- F2Reflects the weighted average price of 1,000 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on September 4, 2015 with sale prices ranging from $23.31 to $23.86 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.
- F3Includes a total of 3,686 shares acquired through the Employee Stock Purchase Plan. The reporting person acquired 320 shares for the phase ending 8/31/15.