SEC Form 4 · accession 0001209191-19-007428
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
Oct 1, 2018
Accepted (ET)
Feb 5, 2019 · 5:30 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 | Oct 1, 2018 | S | 4,100 | $72.0366 | D | 170,767 | D | |
| Common StockF3 | Oct 1, 2018 | S | 200 | $72.75 | D | 170,567 | D | |
| Common StockF4 | Oct 1, 2018 | S | 700 | $74.1043 | D | 169,867 | D | |
| Common StockF5 | Feb 1, 2019 | S | 668 | $51.8681 | D | 169,199 | D | |
| Common StockF6 | Feb 1, 2019 | S | 925 | $53.0502 | D | 168,274 | D | |
| Common StockF7 | Feb 1, 2019 | S | 840 | $54.049 | D | 167,434 | D | |
| Common StockF8 | Feb 1, 2019 | S | 300 | $55.53 | D | 167,134 | D | |
| Common Stock | Feb 1, 2019 | S | 100 | $56.36 | D | 167,034 | 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 4,100 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on October 1, 2018 with sale prices ranging from $71.38 to $72.35 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.
- F3Reflects the weighted average price of 200 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on October 1, 2018 with sale prices ranging from $72.56 to $72.94 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 700 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on October 1, 2018 with sale prices ranging from $74.00 to $74.29 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.
- F5Reflects the weighted average price of 668 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on February 1, 2019 with sale prices ranging from $51.561 to $52.20 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.
- F6Reflects the weighted average price of 925 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on February 1, 2019 with sale prices ranging from $52.75 to $53.675 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.
- F7Reflects the weighted average price of 840 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on February 1, 2019 with sale prices ranging from $53.805 to $54.33 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.
- F8Reflects the weighted average price of 300 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on February 1, 2019 with sale prices ranging from $54.885 to $55.865 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.