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Ownership Document
|
| Schema Version: X0508 |
| Document Type: 4 |
| Period of Report: 2/8/24 |
| Issuer: |
| Issuer CIK: 924717 |
| Issuer Name: SURMODICS INC |
| Issuer Trading Symbol: SRDX |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1198349 |
| | Owner Name: KALICH RONALD B SR |
| Reporting Owner Address: |
| | Owner Street 1: 9924 WEST 74TH STREET |
| | Owner Street 2: |
| | Owner City: EDEN PRAIRIE |
| | Owner State: MN |
| | Owner ZIP Code: 55344 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? No |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| Aff 10b5 One? No |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 2/8/24 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 1,803 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 38,278 |
| Footnote ID: F1 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Stock Option (right to buy) |
| | Conversion or Exercise Price: |
| | | Value: 31.89 |
| | Transaction Date: |
| | | Value: 2/8/24 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 3,853 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Exercise Date: |
| | | Footnote ID: F2 |
| | Expiration Date: |
| | | Value: 2/8/31 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 3,853 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 3,853 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: The amount beneficially owned includes 13,900 restricted stock units (RSUs) that vest on service-based vesting dates and 14,941 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. |
| Footnote - F2: The stock options vest ratably on a monthly basis and become fully vested on February 8, 2025, the 12-month anniversary of the grant date. |
| Owner Signature: |
| Signature Name: /s/ John Manders, on behalf of Ronald B. Kalich |
| Signature Date: 2/12/24 |
