SEC Form 4 · accession 0001209191-18-060226
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Teri Woodwick Sides
Officer — Senior VP and CMO
Period of report
Nov 27, 2018
Accepted (ET)
Nov 29, 2018 · 4:19 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 | 9,711 | $0.00 | A | 9,711 | 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)F1 | $56.63 | Nov 27, 2018 | A | 5,463 | A | — | Nov 27, 2025 | Common Stock | 5,463 | 5,463 | D |
| Employee Stock Option (right to buy)F2 | $56.63 | Nov 27, 2018 | A | 12,292 | A | — | Nov 27, 2025 | Common Stock | 12,292 | 12,292 | D |
Explanation of responses
- F1One third of the award vests on November 27, 2019 and the remainder of the award will vest on November 27, 2020.
- F2The award vests in four equal installments on each of the first four anniversaries of the November 27, 2018 grant date.