SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/20/2010
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3. Issuer Name and Ticker or Trading Symbol
SURMODICS INC
[ SRDX ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of Responses: |
Remarks: |
No securities are beneficially owned. |
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/s/ Bryan K. Phillips, on behalf of Scott R. Ward |
09/22/2010 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
I, Scott R. Ward, hereby authorize and designate each of
Philip D. Ankeny, Bryan K. Phillips, Kirk D. Johnson,
Douglas P. Long, Andrew G. Humphrey, and Alyn Bedford
signing singly, as my true and lawful attorney in fact to:
(1) execute for and on my behalf, in my capacity as an
officer and/or director of SurModics, Inc., a Minnesota
corporation (the "Company"), the Forms 3, 4 and 5
in accordance with Section 16(a) of the Securities Exchange Act
of 1934 (the "Exchange Act") and the rules and regulations
promulgated thereunder;
(2) do and perform any and all acts for and on my behalf
which may be necessary or desirable to complete and execute any
such Forms 3, 4 or 5 and timely file such forms with the
Securities and Exchange Commission, any stock exchange or
similar authority, and the NASDAQ Stock Market; and
(3) take any other action of any type whatsoever in
connection with the foregoing which, in the opinion of such
attorney-in-fact, may be to my benefit, in my best interest,
or legally required of me, it being understood that the statements
executed by such attorney-in-fact on my behalf pursuant to this
Power of Attorney shall be in such form and shall contain such
terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
I hereby further grant to each such attorney-in-fact full
power and authority to do and perform any and every act and thing
whatsoever requisite, necessary, or proper to be done in the
exercise of any of the rights and powers herein granted, as fully
to all intents and purposes as I might or could do if personally
present, with full power of substitutes or revocation, hereby
ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do
or cause to be done by virtue of this Power of Attorney and the
rights and powers herein granted. I hereby acknowledge that the
foregoing attorneys-in-fact, in serving in such capacity at my
request, are not assuming, nor is the Company assuming, any of my
responsibilities to comply with Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect
until I am no longer required to file Forms 3, 4 and 5
with respect to my holdings of and transactions in securities issued
by the Company, unless earlier revoked by me in a signed writing
delivered to the foregoing attorneys-in-fact. Notwithstanding the
foregoing, if any such attorney-in-fact hereafter ceases to be
either a partner or employee of Faegre & Benson LLP, or an
employee of the Company, this Power of Attorney shall be
automatically revoked solely as to such individual, immediately
upon such cessation, without any further action on my part.
I hereby revoke all previous Powers of Attorney that have been
granted by me in connection with my reporting obligations under
Section 16 of the Exchange Act with respect to my holdings of and
transactions in securities issued by the Company.
IN WITNESS WHEREOF, I have caused this Power of Attorney to be
duly executed as of this 21st day of September, 2010.
/s/ Scott R. Ward