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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G
(Rule 13d-102)
Information Statement Pursuant to Rules 13d-1
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
Surmodics, Inc.
(Name of Issuer)
Common Stock, $0.05 par value
(Title of Class of Securities)
868873100
(CUSIP Number)
December 31, 2018
Date of Event Which Requires Filing of the Statement
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
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Rule 13d-1(b) |
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Rule 13d-1(c) |
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Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on 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. 868873100 |
Schedule 13G |
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Name of Reporting Person | |||||
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Check the Appropriate Box if a Member of a Group | |||||
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(a) |
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(b) |
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3. |
SEC Use Only | |||||
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4. |
Citizenship or Place of Organization | |||||
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Number of |
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Sole Voting Power | |||||
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Shared Voting Power | ||||||
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7. |
Sole Dispositive Power | ||||||
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8. |
Shared Dispositive Power | ||||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares o | |||||
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11. |
Percent of Class Represented by Amount in Row (9) | |||||
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12. |
Type of Reporting Person | |||||
CUSIP No. 868873100 |
Schedule 13G |
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1. |
Name of Reporting Person | |||||
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2. |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
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(b) |
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3. |
SEC Use Only | |||||
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4. |
Citizenship or Place of Organization | |||||
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Number of |
5. |
Sole Voting Power | |||||
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6. |
Shared Voting Power | ||||||
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7. |
Sole Dispositive Power | ||||||
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8. |
Shared Dispositive Power | ||||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares o | |||||
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11. |
Percent of Class Represented by Amount in Row (9) | |||||
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12. |
Type of Reporting Person | |||||
CUSIP No. 868873100 |
Schedule 13G |
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1. |
Name of Reporting Person | |||||
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2. |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
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(b) |
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3. |
SEC Use Only | |||||
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4. |
Citizenship or Place of Organization | |||||
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Number of |
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Sole Voting Power | |||||
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6. |
Shared Voting Power | ||||||
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7. |
Sole Dispositive Power | ||||||
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8. |
Shared Dispositive Power | ||||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares o | |||||
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11. |
Percent of Class Represented by Amount in Row (9) | |||||
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12. |
Type of Reporting Person | |||||
CUSIP No. 868873100 |
Schedule 13G |
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1. |
Name of Reporting Person | |||||
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2. |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
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(b) |
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3. |
SEC Use Only | |||||
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4. |
Citizenship or Place of Organization | |||||
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Number of |
5. |
Sole Voting Power | |||||
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6. |
Shared Voting Power | ||||||
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7. |
Sole Dispositive Power | ||||||
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8. |
Shared Dispositive Power | ||||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares o | |||||
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11. |
Percent of Class Represented by Amount in Row (9) | |||||
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12. |
Type of Reporting Person | |||||
CUSIP No. 868873100 |
Schedule 13G |
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1. |
Name of Reporting Person | |||||
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2. |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
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(b) |
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3. |
SEC Use Only | |||||
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4. |
Citizenship or Place of Organization | |||||
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Number of |
5. |
Sole Voting Power | |||||
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6. |
Shared Voting Power | ||||||
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7. |
Sole Dispositive Power | ||||||
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8. |
Shared Dispositive Power | ||||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares o | |||||
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11. |
Percent of Class Represented by Amount in Row (9) | |||||
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12. |
Type of Reporting Person | |||||
CUSIP No. 868873100 |
Schedule 13G |
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1. |
Name of Reporting Person | |||||
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2. |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
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(b) |
x | ||||
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3. |
SEC Use Only | |||||
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4. |
Citizenship or Place of Organization | |||||
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Number of |
5. |
Sole Voting Power | |||||
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6. |
Shared Voting Power | ||||||
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7. |
Sole Dispositive Power | ||||||
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8. |
Shared Dispositive Power | ||||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares o | |||||
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11. |
Percent of Class Represented by Amount in Row (9) | |||||
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12. |
Type of Reporting Person | |||||
CUSIP No. 868873100 |
Schedule 13G |
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Item 1(a) |
Name of Issuer: | ||
Item 1(b) |
Address of Issuers Principal Executive Offices: Eden Prairie, Minnesota 55344 | ||
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Item 2(a) |
Name of Person Filing | ||
Item 2(b) |
Address of Principal Business Office | ||
Item 2(c) |
Citizenship Douglas Granat Lawrence A. Oberman Steven G. Simon Bradley F. Simon Steven R. Monieson | ||
2(d) |
Title of Class of Securities: | ||
2(e) |
CUSIP Number: | ||
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Item 3 |
If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: | ||
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(a) |
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Broker or dealer registered under section 15 of the Exchange Act; |
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(b) |
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Bank as defined in section 3(a)(6) of the Exchange Act; |
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(c) |
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Insurance company as defined in section 3(a)(19) of the Exchange Act; |
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(d) |
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Investment company registered under section 8 of the Investment Company Act; |
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(e) |
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An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
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(f) |
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An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
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(g) |
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A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
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(h) |
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; |
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(i) |
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act; |
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(j) |
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A non-U.S. institution in accordance with Rule 13d1(b)(1)(ii)(J); |
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(k) |
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Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 13d1(b)(1)(ii)(J), please specify the type of institution:____________________________ |
If this statement is filed pursuant to Rule 13d-1(c), check this box. o
CUSIP No. 868873100 |
Schedule 13G |
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Item 4 |
Ownership:(1) | ||
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(a) |
Amount beneficially owned: Incorporated by reference to Item 9 of the cover page pertaining to each reporting person. | |
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(b) |
Percent of class: Incorporated by reference to Item 11 of the cover page pertaining to each reporting person. | |
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(c) |
Number of shares as to which such person has:
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(i) |
Sole power to vote or to direct the vote: Incorporated by reference to Item 5 of the cover page pertaining to each reporting person. |
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(ii) |
Shared power to vote or to direct the vote: Incorporated by reference to Item 6 of the cover page pertaining to each reporting person. |
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(iii) |
Sole power to dispose or to direct the disposition of: Incorporated by reference to Item 7 of the cover page pertaining to each reporting person. |
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(iv) |
Shared power to dispose or to direct the disposition of: Incorporated by reference to Item 8 of the cover page pertaining to each reporting person. |
(1) Douglas Granat, Lawrence A. Oberman, Steven G. Simon, Bradley F. Simon and Steven R. Monieson are the controlling shareholders and/or sole directors of Trigran Investments, Inc. and thus may be considered the beneficial owners of shares beneficially owned by Trigran Investments, Inc. | |||
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Item 5 |
Ownership of Five Percent or Less of a Class: | ||
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Not Applicable. | ||
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Item 6 |
Ownership of More than Five Percent on Behalf of Another Person: | ||
Owners of accounts managed by Trigran Investments, Inc. have or may have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, securities held in their accounts. No such account has such power with respect to more than five percent of the class of securities to which this Schedule 13G relates. | |||
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Item 7 |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: | ||
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Not Applicable. | ||
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Item 8 |
Identification and Classification of Members of the Group: | ||
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Not Applicable. | ||
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Item 9 |
Notice of Dissolution of Group: | ||
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Not Applicable. |
CUSIP No. 868873100 |
Schedule 13G |
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Item 10 |
Certification: |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
Dated this 14th day of February, 2019
TRIGRAN INVESTMENTS, INC. |
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By: |
/s/ Lawrence A. Oberman |
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Name: |
Lawrence A. Oberman |
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Title: |
Executive Vice President and Director |
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/s/ Douglas Granat |
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Douglas Granat |
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/s/ Lawrence A. Oberman |
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Lawrence A. Oberman |
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/s/ Steven G. Simon |
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Steven G. Simon |
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/s/ Bradley F. Simon |
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Bradley F. Simon |
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/s/ Steven R. Monieson |
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Steven R. Monieson |
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CUSIP No. 868873100 |
Schedule 13G |
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INDEX TO EXHIBITS
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EXHIBIT 1: Agreement to Make a Joint Filing |
1 |
Exhibit 1
EXHIBIT 1 TO SCHEDULE 13G
FEBRUARY 14, 2019
In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, TRIGRAN INVESTMENTS, INC., DOUGLAS GRANAT, LAWRENCE A. OBERMAN, STEVEN G. SIMON, BRADLEY F. SIMON and STEVEN R. MONIESON each hereby agree to the joint filing of this statement on Schedule 13G (including any and all amendments hereto). In addition, each party to this Agreement expressly authorizes each other party to this Agreement to file on its behalf any and all amendments to such Statement on Schedule 13G. A copy of this Agreement shall be attached as an exhibit to the Statement on Schedule 13G filed on behalf of each of the parties hereto, to which this Agreement relates.
This Agreement may be executed in multiple counterparts, each of which shall constitute an original, one and the same instrument.
TRIGRAN INVESTMENTS, INC. |
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By: |
/s/ Lawrence A. Oberman |
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Name: |
Lawrence A. Oberman |
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Title: |
Executive Vice President and Director |
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/s/ Douglas Granat |
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Douglas Granat |
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/s/ Lawrence A. Oberman |
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Lawrence A. Oberman |
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/s/ Steven G. Simon |
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Steven G. Simon |
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/s/ Bradley F. Simon |
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Bradley F. Simon |
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/s/ Steven R. Monieson |
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Steven R. Monieson |
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