SEC Form 4 · accession 0001209191-16-138661
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary R Maharaj
Officer — President & CEO · Director
Period of report
Aug 23, 2016
Accepted (ET)
Aug 25, 2016 · 4:51 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 | Aug 23, 2016 | M | 68,565 | $11.61 | A | 163,070 | D | |
| Common Stock | Aug 23, 2016 | F | 42,420 | $29.58 | D | 120,650 | D | |
| Common Stock | Aug 23, 2016 | M | 62,022 | $12.40 | A | 182,672 | D | |
| Common Stock | Aug 23, 2016 | F | 43,363 | $29.58 | D | 139,309 | 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)F3 | $11.61 | Aug 23, 2016 | M | 68,565 | D | — | Dec 27, 2017 | Common Stock | 68,565 | 0 | D |
| Stock Option (Right to Buy)F3 | $12.40 | Aug 23, 2016 | M | 62,022 | D | — | Nov 30, 2018 | Common Stock | 62,022 | 0 | D |
Explanation of responses
- F1Includes 690 shares acquired through the Employee Stock Purchase Plan for the phase ending February 29, 2016.
- F2The 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.
- F3This option is fully vested.