SEC Form 4 · accession 0001209191-18-060218
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
Nov 27, 2018
Accepted (ET)
Nov 29, 2018 · 4:09 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 Stock | Nov 27, 2018 | A | 9,712 | $0.00 | A | 174,991 | D | |
| Common StockF1 | Nov 27, 2018 | A | 23,758 | $0.00 | A | 198,749 | D | |
| Common StockF2 | Nov 27, 2018 | F | 10,834 | $56.63 | D | 187,915 | D | |
| Common Stock | Nov 28, 2018 | F | 1,969 | $60.06 | D | 185,946 | 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)F3 | $56.63 | Nov 27, 2018 | A | 45,073 | A | — | Nov 27, 2025 | Common Stock | 45,073 | 45,073 | D |
Explanation of responses
- F1Shares issued in connection with the vesting of a performance share award under long-term incentive plan based on performance during three-year period ended September 30, 2018.
- F2Shares withheld to satisfy taxes incident to vesting of performance share award.
- F3The award vests in four equal installments on each of the first four anniversaries of the November 27, 2018 grant date.