Filing Details
- Accession Number:
- 0001209191-16-153167
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-02 18:47:05
- Reporting Period:
- 2016-11-30
- Filing Date:
- 2016-12-02
- Accepted Time:
- 2016-12-02 18:47:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1412895 | K Bryan Phillips | 9924 West 74Th Street Eden Prairie MN 55344 | Svp, Gen Counsel & Secretary | 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 | 2016-11-30 | 2,713 | $0.00 | 29,170 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2016-11-30 | 4,881 | $0.00 | 34,051 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2016-11-30 | 2,353 | $23.95 | 31,698 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-12-02 | 1,264 | $23.90 | 30,434 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2016-11-30 | 17,121 | $0.00 | 17,121 | $23.95 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 17,121 | 2023-11-30 | No | 4 | A | Direct |
Footnotes
- Performance shares awarded under long-term incentive plan based on performance during three-year period ended September 30, 2016.
- Shares withheld to satisfy taxes incident to vesting of performance share award.
- Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 31, 2016.
- Reflects the weighted average price of 1,264 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on December 2, 2016 with sale prices ranging from $23.75 to $24.075 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.
- The award vests in four equal installments on each of the first four anniversaries of the November 30, 2016 grant date.
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