SCHEDULE 13G
(RULE 13d-102)
Information to be Included in Statements Filed Pursuant to Rule 13d-1(b), (c)
and (d) and Amendments Thereto Filed Pursuant to Rule 13d-2.
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
(Name of Issuer)
(Title of Class of Securities)
(CUSIP Number)
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 |
Rule 13d-1(b) | |
|
Rule 13d-1(c) | |
 |
Rule 13d-1(d) |
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act, but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP NO. 868873 10 0 | 13G | PAGE 2 OF 4 PAGES | ||||||
| 1 | Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons
(Entities Only) David A. Koch |
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) |
(a)
(b)
| 3 | SEC Use Only |
| 4 | Citizenship or Place of
Organization U.S.A. |
| 5 | Sole Voting Power | |||
| Number of | 810,960 (includes 46,400 shares which may be purchased upon exercise of options) | |||
|
|
||||
| Shares | 6 | Shared Voting Power | ||
| 192,000 | ||||
| Beneficially | ||||
|
|
||||
| Owned By Each | 7 | Sole Dispositive Power | ||
| 810,960 (includes 46,400 shares which may be purchased upon exercise of options) | ||||
| Reporting | ||||
|
|
||||
| Person | 8 | Shared Dispositive Power | ||
| 192,000 | ||||
| With | ||||
|
|
||||
| 9 | Aggregate Amount Beneficially
Owned by Each Reporting Person 1,002,960 (includes 46,400 shares which may be purchased upon exercise of options) |
| 10 | Check if the Aggregate Amount in Row (9) Excludes
Certain Shares (See Instructions) |
| 11 | Percent of Class Represented
by Amount In Row (9) 6.0% |
| 12 | Type Of Reporting Person (See
Instructions) IN |
Answer every item. If an item is inapplicable or the answer is in the negative, so state.
| Item 1(a) | Name of Issuer: | |
| SurModics, Inc. | ||
| Item 1(b) | Address of Issuer’s Principal Executive Offices: | |
|
9924 West 74th Street Eden Prairie, MN 55344 |
||
| Item 2(a) | Name of Person Filing: | |
| See Cover Page Item 1 | ||
| Item 2(b) | Address of Principal Business Office or, if none, residence: | |
|
1582A Homestead Trail Long Lake, MN 55356 |
||
| Item 2(c) | Citizenship: | |
| See Cover Page Item 4 | ||
| Item 2(d) | Title of Class of Securities: | |
| Common Stock, $.05 par value | ||
| Item 2(e) | CUSIP No.: | |
| See Cover Page | ||
| Item 3 | Statement filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c): | |
| Not applicable | ||
| Item 4 | Ownership | |
| See Cover Page Items 5 through 11 | ||
| Item 5 | Ownership of Five Percent or Less of a Class: | |
|
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be
the beneficial owner of more than five percent of the class of
securities, check the following
|
Page 3 of 4 Pages
| Item 6 | Ownership of More than Five Percent on Behalf of Another Person: | |
| Not applicable | ||
| Item 7 | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: | |
| Not applicable | ||
| Item 8 | Identification and Classification of Members of the Group: | |
| Not applicable | ||
| Item 9 | Notice of Dissolution of Group: | |
| Not applicable | ||
| Item 10 | Certifications: | |
| Not applicable |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct as of December 31, 2001.
| January 16, 2002 (Date) |
||
| /s/ David A. Koch (Signature) |
||
| David A. Koch (Name and title) |
Page 4 of 4 Pages