SEC Form 4 · accession 0001209191-18-058297
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J. Stich
Officer — VP and GM, IVD
Period of report
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 4:51 pm EST
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 | Nov 9, 2018 | S | 200 | $62.07 | D | 52,008 | D | |
| Common StockF3 | Nov 9, 2018 | S | 1,046 | $63.6076 | D | 50,962 | D | |
| Common StockF4 | Nov 9, 2018 | S | 754 | $64.4499 | D | 50,208 | 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.
- F2Includes 289 shares acquired through the Employee Stock Purchase Plan for the phase ending August 31, 2018.
- F3Reflects the weighted average price of 1,046 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on November 9, 2018 with sale prices ranging from $63.18 to $64.00 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.
- F4Reflects the weighted average price of 754 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on November 9, 2018 with sale prices ranging from $64.32 to $64.995 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.