0001209191-21-010794.txt : 20210216 0001209191-21-010794.hdr.sgml : 20210216 20210216165019 ACCESSION NUMBER: 0001209191-21-010794 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210211 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KALICH RONALD B SR CENTRAL INDEX KEY: 0001198349 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23837 FILM NUMBER: 21640067 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 2021-02-11 0 0000924717 SURMODICS INC SRDX 0001198349 KALICH RONALD B SR 9924 WEST 74TH STREET EDEN PRAIRIE MN 55344 1 0 0 0 Common Stock 2021-02-11 4 A 0 1067 0.00 A 19406 D Common Stock 2021-02-12 4 M 0 4098 26.46 A 23504 D Common Stock 2021-02-12 4 F 0 1900 53.17 D 21604 D Stock Option (right to buy) 53.86 2021-02-11 4 A 0 2964 0.00 A 2028-02-11 Common Stock 2964 2964 D Stock Option (right to buy) 24.64 2021-02-12 4 M 0 4098 0.00 D 2021-02-17 Common Stock 4098 0 D The amount beneficially owned includes 8,738 restricted stock units (RSUs) that vest on service-based vesting dates and 9,216 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. The stock options vest ratably on a monthly basis and become fully vested on February 11, 2022, the 12-month anniversary of the grant date. Fully vested. /s/ John Manders, on behalf of Ronald B. Kalich 2021-02-16