0001209191-14-032705.txt : 20140509 0001209191-14-032705.hdr.sgml : 20140509 20140509175342 ACCESSION NUMBER: 0001209191-14-032705 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: DANTZKER DAVID CENTRAL INDEX KEY: 0001245926 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-23837 FILM NUMBER: 14830594 MAIL ADDRESS: STREET 1: 80 CUTTERMILL ROAD STE 311 CITY: GREAT NECK STATE: NY ZIP: 11021 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2013-03-31 2013-11-20 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 2013-03-31 4 A 0 408 27.25 A 2380 D Common Stock 2013-06-30 4 A 0 555 20.01 A 2935 D Common Stock 2013-09-30 4 A 0 467 23.78 A 3402 D Common Stock 2013-11-18 4 A 0 1328 0.00 A 4730 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 1,430 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 David R. Dantzker 2014-05-09