SEC Form 4 · accession 0001209191-17-011509
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald B Kalich Sr.
Director
Period of report
Feb 14, 2017
Accepted (ET)
Feb 16, 2017 · 4:50 pm EST
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 | Feb 14, 2017 | A | 1,252 | $0.00 | A | 9,802 | 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 | $23.95 | Feb 14, 2017 | A | 3,932 | A | — | Feb 14, 2024 | Common Stock | 3,932 | 3,932 | D |
Explanation of responses
- F1The amount beneficially owned includes 5,073 restricted stock units (RSUs) that vest on service-based vesting dates and 4,729 DSUs that are vested upon issuance, each of which 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.
- F2The award vests in full on February 14, 2018.