SEC Form 4 · accession 0001209191-16-106968
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
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 4:36 pm EST
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 | Mar 4, 2016 | S | 1,000 | $18.631 | D | 24,492 | 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 March 4, 2016 with sale prices ranging from $18.35 to $18.92 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 387 shares acquired through the Employee Stock Purchase Plan for phase ending 2/29/16.