0001209191-18-036051.txt : 20180606 0001209191-18-036051.hdr.sgml : 20180606 20180606162114 ACCESSION NUMBER: 0001209191-18-036051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180521 FILED AS OF DATE: 20180606 DATE AS OF CHANGE: 20180606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stich Joseph J. CENTRAL INDEX KEY: 0001487121 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23837 FILM NUMBER: 18884019 MAIL ADDRESS: STREET 1: 9924 WEST 74TH STREET CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 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: 9525007000 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-05-21 0 0000924717 SURMODICS INC SRDX 0001487121 Stich Joseph J. 9924 WEST 74TH STREET EDEN PRAIRIE MN 55344 0 1 0 0 VP and GM, IVD Common Stock 2018-05-21 5 G 0 E 2000 0.00 D 51554 D Common Stock 2018-06-04 4 M 0 13266 20.37 A 64820 D Common Stock 2018-06-04 4 F 0 8901 51.55 D 55919 D Common Stock 2018-06-05 4 S 0 890 52.0039 D 55029 D Common Stock 2018-06-05 4 S 0 1110 52.7941 D 53919 D Employee Stock Option (right to buy) 20.37 2018-06-04 4 M 0 13266 0.00 D 2019-12-12 Common Stock 13266 0 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. Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 2018. Reflects the weighted average price of 890 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on June 5, 2018 with sale prices ranging from $51.55 to $52.40 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. Reflects the weighted average price of 1,110 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on June 5, 2018 with sale prices ranging from $52.65 to $53.05 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. Fully vested. /s/ Bryan K. Phillips, on behalf of Joseph J. Stich 2018-06-06