SEC Form 4 · accession 0001209191-16-137221
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles W Olson
Officer — Senior VP & GM, Med Dev
Period of report
Aug 12, 2016
Accepted (ET)
Aug 16, 2016 · 4:30 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 12, 2016 | M | 30,991 | $9.25 | A | 54,632 | D | |
| Common Stock | Aug 12, 2016 | F | 17,151 | $28.25 | D | 37,481 | D | |
| Common Stock | holding | — | — | — | 800 | I | By IRA |
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 | Aug 12, 2016 | M | 30,991 | D | — | Nov 30, 2017 | Common Stock | 30,991 | 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.