SEC Form 4 · accession 0001209191-16-121353
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan E Knight
Director
Period of report
May 16, 2016
Accepted (ET)
May 18, 2016 · 5:16 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 Stock | May 16, 2016 | M | 16,528 | $9.25 | A | 24,221 | D | |
| Common StockF1 | May 16, 2016 | F | 6,750 | $22.65 | D | 17,471 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $9.25 | May 16, 2016 | M | 16,528 | D | — | Nov 30, 2017 | Common Stock | 16,528 | 0 | D |
Explanation of responses
- F1The amount beneficially owned includes 5,693 restricted stock units (RSUs) that vest on service-based vesting dates that will be settled in shares of the issuer's common stock on a 1 for 1 basis when the reporting persons' service as a director ends.
- F2Fully vested.