Current Report Filing (8-k)
May 06 2019 - 1:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of report (Date of earliest event reported): May 3, 2019
Surmodics, Inc.
(Exact
Name of Registrant as Specified in Charter)
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Minnesota
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0-23837
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41-1356149
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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9924 W. 74th Street
Eden Prairie, Minnesota, 55344
(Address of Principal Executive Offices, and Zip Code)
(952)
500-7000
Registrants Telephone Number, Including Area Code
n/a
(Former Name or
Former Address, if Changed Since Last Report)
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which
registered
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Common Stock, $0.05 par value
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SRDX
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Nasdaq Global Select Market
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Check the appropriate box below if the Form
8-K
filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following provisions (
see
General Instruction A.2. below):
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☐
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Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17
CFR
240.14a-12)
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☐
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Pre-commencement
communication pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communication pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or
Rule
12b-2
of the Securities Exchange Act of 1934 (17 CFR
§240.12b-2).
Emerging growth company ☐
If an emerging growth
company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Item 5.02.
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers.
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On May 3, 2019, the Organization and Compensation Committee (the
Committee
) of the Board of Directors of Surmodics, Inc. (the
Company
) approved the following forms of award agreements under the Companys 2019 Equity Incentive Plan: (a) Form of
Non-Qualified
Stock Option Award Agreement; (b) Form of Restricted Stock Award Agreement; (c) Form of Restricted Stock Unit Award Agreement (for employees); (d) Form of Performance Stock Unit Award
Agreement; (e) Form of Restricted Stock Unit Award Agreement (for
non-employee
directors); and (f) Form of Deferred Stock Unit Master Agreement (for
non-employee
directors).
Copies of these forms of agreements are filed as Exhibits 10.1, 10.2,
10.3, 10.4, 10.5, and 10.6 to this Current Report on Form
8-K
and are incorporated herein by reference.
Item 9.01
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Financial Statements and Exhibits.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
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SURMODICS, INC.
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Date: May 6, 2019
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/s/ Bryan K.
Phillips
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Bryan K. Phillips
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Sr. Vice President, General Counsel and Secretary
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