SEC Form 4 · accession 0001209191-18-021061
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J. Stich
Officer — VP and GM, IVD
Period of report
Mar 19, 2018
Accepted (ET)
Mar 21, 2018 · 4:05 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 | Mar 19, 2018 | M | 10,000 | $12.40 | A | 55,761 | D | |
| Common Stock | Mar 19, 2018 | F | 6,462 | $37.15 | D | 49,299 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $12.40 | Mar 19, 2018 | M | 10,000 | D | — | Nov 30, 2018 | Common Stock | 10,000 | 11,469 | D |
Explanation of responses
- F1Fully vested.