0001209191-13-055517.txt : 20131205 0001209191-13-055517.hdr.sgml : 20131205 20131205170222 ACCESSION NUMBER: 0001209191-13-055517 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131203 FILED AS OF DATE: 20131205 DATE AS OF CHANGE: 20131205 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: Phillips Bryan K CENTRAL INDEX KEY: 0001412895 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23837 FILM NUMBER: 131260460 MAIL ADDRESS: STREET 1: 9924 WEST 74TH STREET CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-12-03 0 0000924717 SURMODICS INC SRDX 0001412895 Phillips Bryan K 9924 WEST 74TH STREET EDEN PRAIRIE MN 55344 0 1 0 0 SVP, Gen Counsel & Secretary Common Stock 2013-12-03 4 M 0 23243 9.25 A 42997 D Common Stock 2013-12-03 4 M 0 10735 12.40 A 53732 D Common Stock 2013-12-03 4 F 0 21263 23.47 D 32469 D Common Stock 2013-12-04 4 S 0 16236 22.9522 D 16233 D Stock Option (Right to Buy) 9.25 2013-12-03 4 D 0 23243 0.00 D 2017-11-30 Common Stock 23243 7748 D Stock Option (Right to Buy) 12.40 2013-12-03 4 D 0 10735 0.00 D 2018-11-30 Common Stock 10735 10734 D 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b-5 trading plan adopted by the reporting person. Reflects the weighted average price of 16,236 shares of common stock of SurModics, Inc. sold by the reporting person in multiple transactions on December 4, 2013 with the sale prices ranging from $22.59 to $23.415 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, 2010 grant date. The award vests in four equal installments on each of the first four anniversaries of the November 30, 2011 grant date. /s/ Bryan K. Phillips 2013-12-05