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