0001209191-14-032682.txt : 20140509 0001209191-14-032682.hdr.sgml : 20140509 20140509173756 ACCESSION NUMBER: 0001209191-14-032682 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20140509 DATE AS OF CHANGE: 20140509 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: BRAINERD MARY K CENTRAL INDEX KEY: 0001195918 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-23837 FILM NUMBER: 14830499 MAIL ADDRESS: STREET 1: 8170 33RD AVENUE SOUTH CITY: BLOOMINGTON STATE: MN ZIP: 55425 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2013-03-31 2013-11-20 1 0000924717 SURMODICS INC SRDX 0001195918 BRAINERD MARY K 8170 33RD AVENUE SOUTH BLOOMINGTON MN 55425 0 0 0 1 Former Director Common Stock 2013-03-31 4 A 0 417 27.25 A 1889 D Common Stock 2013-06-30 4 A 0 568 20.01 A 2457 D Common Stock 2013-09-30 4 A 0 478 23.78 A 2935 D Common Stock 2013-11-18 4 A 0 1328 0.00 A 4263 D The reporting person elected to receive vested deferred stock units (DSUs) in lieu of quarterly cash retainer payments. The DSUs are settled in shares of the issuer's common stock as described below. While included in the Amount of Securities Beneficially Owned in the original Form 4, the receipt of these DSUs had been inadvertently omitted from the original Form 4. The amount beneficially owned includes 2,800 restricted stock units (RSUs) that vest on service-based vesting dates and 1,463 DSUs that are vested upon issuance, each of which will be settled in shares of the issuer's common stock on a 1 for 1 basis when the reporting person's service as a director ends. /s/ Bryan K. Phillips, on behalf of Mary K. Brainerd 2014-05-09