SEC Form 4 · accession 0001209191-16-135281
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J. Arens
Officer — VP-Corporate Dev. and Strategy
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 5:40 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 | Aug 1, 2016 | M | 4,000 | $24.30 | A | 13,196 | D | |
| Common Stock | Aug 1, 2016 | F | 3,726 | $27.06 | D | 9,470 | D | |
| Common Stock | Aug 1, 2016 | M | 3,444 | $9.25 | A | 12,914 | D | |
| Common Stock | Aug 1, 2016 | F | 1,925 | $27.06 | D | 10,989 | D | |
| Common Stock | Aug 1, 2016 | M | 21,469 | $12.40 | A | 32,458 | D | |
| Common Stock | Aug 1, 2016 | F | 13,746 | $27.06 | D | 18,712 | 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 | $24.30 | Aug 1, 2016 | M | 4,000 | D | — | Sep 21, 2016 | Common Stock | 4,000 | 0 | D |
| Stock Option (right to buy)F2 | $9.25 | Aug 1, 2016 | M | 3,444 | D | — | Nov 30, 2017 | Common Stock | 3,444 | 0 | D |
| Stock Option (right to buy)F2 | $12.40 | Aug 1, 2016 | M | 21,469 | D | — | Nov 30, 2018 | Common Stock | 21,469 | 0 | D |
Explanation of responses
- F1The 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.
- F2This option is fully vested.