0001209191-13-053441.txt : 20131120 0001209191-13-053441.hdr.sgml : 20131120 20131120202806 ACCESSION NUMBER: 0001209191-13-053441 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131118 FILED AS OF DATE: 20131120 DATE AS OF CHANGE: 20131120 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: 6128292700 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DANTZKER DAVID CENTRAL INDEX KEY: 0001245926 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23837 FILM NUMBER: 131234113 MAIL ADDRESS: STREET 1: 80 CUTTERMILL ROAD STE 311 CITY: GREAT NECK STATE: NY ZIP: 11021 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-11-18 0 0000924717 SURMODICS INC SRDX 0001245926 DANTZKER DAVID C/O WHEATLEY PARTNERS, L.P. 80 CUTTERMILL ROAD GREAT NECK NY 11021 1 0 0 0 Common Stock 2013-11-18 4 A 0 1328 0.00 A 4730 D Stock Option (right to buy) 22.58 2013-11-18 4 A 0 3575 0.00 A 2020-11-18 Common Stock 3575 3575 D The amount beneficially owned includes (a) unvested RSUs that will be settled in shares of the issuer's common stock at future service-based vesting dates, and (b) vested RSUs acquired during fiscal 2013 in lieu of as compensation. The award vests in three equal installments on each of the first three anniversaries of the November 18, 2013 grant date. /s/ Bryan K. Phillips, on behalf of David R. Dantzker 2013-11-20