Sutton Gregg S 4

4 · SURMODICS INC · Filed Aug 27, 2018

Form 4

Period: 2018-08-23

VP of Research and Development

Transactions

Exercise/Conversion
Common Stock
2018-08-23$19.42/sh+10,544$204,764→ 19,853 total
Sale
Common Stock
2018-08-23$74.11/sh−14,204$1,052,629→ 9,929 total
Sale
Common Stock
2018-08-23$74.94/sh−620$46,464→ 9,309 total
Exercise/Conversion
Employee Stock Option (right to buy)
2018-08-23−4,280→ 12,841 total
Exercise: $23.95Exp: 2023-11-30→ Common Stock (4,280 underlying)
Exercise/Conversion
Common Stock
2018-08-23$23.95/sh+4,280$102,506→ 24,133 total
Exercise/Conversion
Employee Stock Option (right to buy)
2018-08-23−10,544→ 10,544 total
Exercise: $19.42Exp: 2023-02-16→ Common Stock (10,544 underlying)

Footnotes (5)

[F1]Includes 497 shares acquired through the Employee Stock Purchase Plan for the phase ending in February 2018.
[F2]Reflects the weighted average price of 14,204 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on August 23, 2018 with sale prices ranging from $73.80 to $74.75 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.
[F3]Reflects the weighted average price of 620 shares of common stock of Surmodics,Inc. sold by the reporting person in multiple transactions on August 23, 2018 with sale prices ranging from $74.825 to $75.05 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.
[F4]The award vests in four equal installments on each of the first four anniversaries of the February 16, 2016 grant date.
[F5]The award vests in four equal installments on each of the first four anniversaries of the November 30, 2016 grant date.

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