SEC Form 4 · accession 0001209191-16-137226
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan E Knight
Director
Period of report
Aug 15, 2016
Accepted (ET)
Aug 16, 2016 · 4:32 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 StockF1,F2 | Aug 15, 2016 | S | 1,548 | $28.6406 | D | 14,332 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the weighted average price of 1,548 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on August 15, 2016 with sale prices ranging from $28.58 to $28.74 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.
- F2The 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 person's service as a director ends.