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SURMODICS INC — Director's Dealing 2018
Jun 6, 2018
32845_dirs_2018-06-06_87c73780-0f74-486e-91f9-41f2becdd61f.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: 2018-05-21
Reporting Person: Stich Joseph J. (VP and GM, IVD)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-21 | Common Stock | G | 2000 | $0.00 | Disposed | 51554 | Direct |
| 2018-06-04 | Common Stock | M | 13266 | $20.37 | Acquired | 64820 | Direct |
| 2018-06-04 | Common Stock | F | 8901 | $51.55 | Disposed | 55919 | Direct |
| 2018-06-05 | Common Stock | S | 890 | $52.0039 | Disposed | 55029 | Direct |
| 2018-06-05 | Common Stock | S | 1110 | $52.7941 | Disposed | 53919 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-06-04 | Employee Stock Option (right to buy) | $20.37 | M | 13266 | Disposed | 2019-12-12 | Common Stock (13266) | Direct |
Footnotes
F1: The reporting person makes a payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
F2: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 2018.
F3: Reflects the weighted average price of 890 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on June 5, 2018 with sale prices ranging from $51.55 to $52.40 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.
F4: Reflects the weighted average price of 1,110 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on June 5, 2018 with sale prices ranging from $52.65 to $53.05 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.
F5: Fully vested.