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SURMODICS INC — Director's Dealing 2017
Nov 30, 2017
32845_dirs_2017-11-30_15cb966f-0ab2-4496-8822-6d029aa9d1d1.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SURMODICS INC (SRDX)
CIK: 0000924717
Period of Report: 2017-11-28
Reporting Person: LaFrence Andrew D. C. (VP of Finance & CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-28 | Common Stock | A | 4518 | $0.00 | Acquired | 17543 | Direct |
| 2017-11-28 | Common Stock | A | 6525 | $0.00 | Acquired | 24068 | Direct |
| 2017-11-28 | Common Stock | F | 3146 | $33.20 | Disposed | 20922 | Direct |
| 2017-11-30 | Common Stock | F | 436 | $33.10 | Disposed | 20486 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-28 | Employee Stock Option (right to buy) | $33.20 | A | 21285 | Acquired | 2024-11-28 | Common Stock (21285) | Direct |
Footnotes
F1: Includes 865 shares acquired through the Employee Stock Purchase Plan for the phase ending February 29, 2016, February 28, 2017 and August 31, 2017.
F2: Shares 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, 2017.
F3: Shares withheld to satisfy taxes incident to vesting of performance share award.
F4: The award vests in four equal installments on each of the first four anniversaries of the November 28, 2017 grant date.