SEC Form 4 · accession 0001209191-18-036049
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles W Olson
Officer — Senior VP of Bus Dev, Med Dev
Period of report
Jun 4, 2018
Accepted (ET)
Jun 6, 2018 · 4:20 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 | Jun 4, 2018 | M | 10,707 | $21.03 | A | 42,934 | D | |
| Common Stock | Jun 4, 2018 | F | 7,259 | $51.55 | D | 35,675 | D | |
| Common Stock | holding | — | — | — | 800 | I | By IRA |
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 | $21.03 | Jun 4, 2018 | M | 10,707 | D | — | Dec 2, 2021 | Common Stock | 10,707 | 3,569 | D |
Explanation of responses
- F1The reporting person makes a payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- F2The award vests in four equal installments on each of the first four anniversaries of the December 2, 2014 grant date.