0001209191-18-041999.txt : 20180709 0001209191-18-041999.hdr.sgml : 20180709 20180709163119 ACCESSION NUMBER: 0001209191-18-041999 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180705 FILED AS OF DATE: 20180709 DATE AS OF CHANGE: 20180709 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Arens Timothy J. CENTRAL INDEX KEY: 0001506586 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23837 FILM NUMBER: 18945025 MAIL ADDRESS: STREET 1: 9924 WEST 74TH STREET CITY: EDEN PRAIRIE STATE: X1 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 2018-07-05 0 0000924717 SURMODICS INC SRDX 0001506586 Arens Timothy J. 9924 WEST 74TH STREET EDEN PRAIRIE MN 55344 0 1 0 0 Interim VP, Finance, and CFO Common Stock 2018-07-05 4 M 0 5863 21.03 A 38293 D Common Stock 2018-07-05 4 M 0 6099 20.25 A 44392 D Common Stock 2018-07-05 4 M 0 3964 23.95 A 48356 D Common Stock 2018-07-05 4 F 0 8947 58.25 D 39409 D Employee Stock Option (right to buy) 21.03 2018-07-05 4 M 0 5863 0.00 D 2021-12-02 Common Stock 5863 8413 D Employee Stock Option (right to buy) 20.25 2018-07-05 4 M 0 6099 0.00 D 2022-12-17 Common Stock 6099 13828 D Employee Stock Option 23.95 2018-07-05 4 M 0 3964 0.00 D 2023-11-30 Common Stock 3964 13157 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 award vests in four equal installments on each of the first four anniversaries of the December 2, 2014 grant date. The award vests in four equal installments on each of the first four anniversaries of the December 17, 2015 grant date. The award vests in four equal installments on each of the first four anniversaries of the November 30, 2016 grant date. /s/ Bryan K. Phillips on behalf of Timothy J. Arens 2018-07-09