SEC Form 4 · accession 0001209191-18-024738
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bryan K Phillips
Officer — SVP, Gen Counsel & Secretary
Period of report
Apr 10, 2018
Accepted (ET)
Apr 12, 2018 · 4:23 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 | Apr 10, 2018 | M | 5,367 | $12.40 | A | 42,036 | D | |
| Common Stock | Apr 10, 2018 | M | 13,266 | $20.37 | A | 55,302 | D | |
| Common Stock | Apr 10, 2018 | F | 13,415 | $37.75 | D | 41,887 | 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 | Apr 10, 2018 | M | 5,367 | D | — | Nov 30, 2018 | Common Stock | 5,367 | 0 | D |
| Employee Stock Option (right to buy)F1 | $20.37 | Apr 10, 2018 | M | 13,266 | D | — | Dec 12, 2019 | Common Stock | 13,266 | 0 | D |
Explanation of responses
- F1Fully vested.