Filing Details
- Accession Number:
- 0001209191-16-135285
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-03 17:42:35
- Reporting Period:
- 2016-08-01
- Filing Date:
- 2016-08-03
- Accepted Time:
- 2016-08-03 17:42:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 924717 | Surmodics Inc | SRDX | Surgical & Medical Instruments & Apparatus (3841) | 411356149 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1286125 | W Charles Olson | 9924 West 74Th Street Eden Prairie MN 55344 | Senior Vp & Gm, Med Dev | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-08-01 | 12,500 | $24.30 | 35,531 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-01 | 7,500 | $27.09 | 28,031 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-01 | 5,000 | $27.07 | 23,031 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2016-08-01 | 12,500 | $0.00 | 12,500 | $24.30 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,783 | 2016-09-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 800 | Indirect | By IRA |
Footnotes
- Exercise of reporting person's stock options of which shares were sold to pay the exercise price, to cover withholding taxes, and to pay broker fees and commissions, pursuant to a broker-assisted cashless exercise and sale.
- Reflects the weighted average price of 7,500 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on August 1, 2016 with sale prices ranging from $26.99 to $27.40 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.
- Reflects the weighted average price of 5,000 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on August 1, 2016 with sale prices ranging from $27.05 to $27.12 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.
- This option is fully vested.
Billionaire Hedge Funds
