SEC Form 4 · accession 0001209191-18-030045
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
May 10, 2018
Accepted (ET)
May 14, 2018 · 7:06 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 | May 10, 2018 | M | 30,932 | $21.03 | A | 198,490 | D | |
| Common Stock | May 10, 2018 | M | 27,173 | $20.25 | A | 225,663 | D | |
| Common Stock | May 10, 2018 | F | 41,077 | $44.80 | D | 184,586 | 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 | $21.03 | May 10, 2018 | M | 30,932 | D | — | Dec 2, 2021 | Common Stock | 30,932 | 10,311 | D |
| Employee Stock Option (right to buy)F2 | $20.25 | May 10, 2018 | M | 27,173 | D | — | Dec 17, 2022 | Common Stock | 27,173 | 27,174 | D |
Explanation of responses
- F1The award vests in four equal installments on each of the first four anniversaries of the December 2, 2014 grant date.
- F2The award vests in four equal installments on each of the first four anniversaries of the December 17, 2015 grant date.