SEC Form 4 · accession 0001209191-18-021887
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
Mar 26, 2018
Accepted (ET)
Mar 28, 2018 · 3:41 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 | Mar 26, 2018 | M | 38,325 | $20.37 | A | 187,872 | D | |
| Common Stock | Mar 26, 2018 | M | 36,434 | $22.58 | A | 224,306 | D | |
| Common Stock | Mar 26, 2018 | F | 56,748 | $38.50 | D | 167,558 | 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)F2 | $20.37 | Mar 26, 2018 | M | 38,325 | D | — | Dec 12, 2019 | Common Stock | 38,325 | 0 | D |
| Employee Stock Option (right to buy)F2 | $22.58 | Mar 26, 2018 | M | 36,434 | D | — | Nov 18, 2020 | Common Stock | 36,434 | 0 | D |
Explanation of responses
- F1Includes a total of 405 shares acquired through the Employee Stock Purchase Plan for the phase ending February 28, 2018.
- F2Fully vested.