SEC Form 4 · accession 0001209191-18-048678
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Wipperman Heine
Director
Period of report
Aug 24, 2018
Accepted (ET)
Aug 28, 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 | Aug 24, 2018 | M | 4,104 | $23.50 | A | 7,119 | D | |
| Common Stock | Aug 24, 2018 | M | 2,635 | $27.30 | A | 9,754 | D | |
| Common Stock | Aug 24, 2018 | F | 2,272 | $74.15 | D | 7,482 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $23.50 | Aug 24, 2018 | M | 4,104 | D | — | Apr 12, 2024 | Common Stock | 4,104 | 0 | D |
| Stock Option (right to buy)F2 | $27.30 | Aug 24, 2018 | M | 2,635 | D | — | Feb 20, 2025 | Common Stock | 2,635 | 2,640 | D |
Explanation of responses
- F1Fully vested.
- F2The Option will vest and become exercisable ratably on a monthly basis over the one-year period following the grant date.