SEC Form 4 · accession 0001209191-18-049847
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
Sep 4, 2018
Accepted (ET)
Sep 6, 2018 · 4:43 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 StockF2,F3 | Sep 4, 2018 | S | 3,700 | $79.4007 | D | 171,579 | D | |
| Common StockF4 | Sep 4, 2018 | S | 1,300 | $80.1639 | D | 170,279 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 2018.
- F2Reflects the weighted average price of 3,700 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on September 4, 2018 with sale prices ranging from $78.90 to $79.90 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3Includes 693 shares acquired through the Employee Stock Purchase Plan for the phase ending August 31, 2018.
- F4Reflects the weighted average price of 1,300 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on September 4, 2018 with sale prices ranging from $79.95 to $80.40 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.