0001209191-18-048513.txt : 20180827 0001209191-18-048513.hdr.sgml : 20180827 20180827170322 ACCESSION NUMBER: 0001209191-18-048513 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180823 FILED AS OF DATE: 20180827 DATE AS OF CHANGE: 20180827 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sutton Gregg S CENTRAL INDEX KEY: 0001304052 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23837 FILM NUMBER: 181039484 MAIL ADDRESS: STREET 1: 6464 SYCAMORE COURT NORTH CITY: MINNEAPOLIS STATE: MN ZIP: 55369 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SURMODICS INC CENTRAL INDEX KEY: 0000924717 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 411356149 STATE OF INCORPORATION: MN FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 9924 W 74TH ST CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 BUSINESS PHONE: 9525007000 MAIL ADDRESS: STREET 1: 9924 WEST 74TH ST CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 FORMER COMPANY: FORMER CONFORMED NAME: BSI CORP DATE OF NAME CHANGE: 19970506 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-08-23 0 0000924717 SURMODICS INC SRDX 0001304052 Sutton Gregg S 9924 WEST 74TH STREET EDEN PRAIRIE MN 55344 0 1 0 0 VP of Research and Development Common Stock 2018-08-23 4 M 0 10544 19.42 A 19853 D Common Stock 2018-08-23 4 M 0 4280 23.95 A 24133 D Common Stock 2018-08-23 4 S 0 14204 74.1079 D 9929 D Common Stock 2018-08-23 4 S 0 620 74.9419 D 9309 D Employee Stock Option (right to buy) 19.42 2018-08-23 4 M 0 10544 0.00 D 2023-02-16 Common Stock 10544 10544 D Employee Stock Option (right to buy) 23.95 2018-08-23 4 M 0 4280 0.00 D 2023-11-30 Common Stock 4280 12841 D Includes 497 shares acquired through the Employee Stock Purchase Plan for the phase ending in February 2018. Reflects the weighted average price of 14,204 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on August 23, 2018 with sale prices ranging from $73.80 to $74.75 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 620 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on August 23, 2018 with sale prices ranging from $74.825 to $75.05 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. The award vests in four equal installments on each of the first four anniversaries of the February 16, 2016 grant date. The award vests in four equal installments on each of the first four anniversaries of the November 30, 2016 grant date. /s/ Bryan K. Phillips, attorney-in-fact for Gregg S. Sutton 2018-08-27