SEC Filing | Surmodics, Inc.

View:

Download DOC

Download PDF

Download XLS

Download XBRL

srdx-8k_20200721.htm

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934

July 21, 2020

Date of report (Date of earliest event reported)

Surmodics, Inc.

(Exact Name of Registrant as Specified in its Charter)

Minnesota

0-23837

41-1356149

(State of Incorporation)

(Commission File Number)

(I.R.S. Employer

Identification No.)

9924 West 74^th Street

Eden Prairie, Minnesota

55344

(Address of Principal Executive Offices)

(Zip Code)

(952) 500-7000

(Registrant’s Telephone Number, Including Area Code)

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):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a‑12 under the Exchange Act (17 CFR 240.14a‑12)

☐ Pre‑commencement communications pursuant to Rule 14d‑2(b) under the Exchange Act (17 CFR 240.14d‑2(b))

☐ Pre‑commencement communications pursuant to Rule 13e‑4(c) under the Exchange Act (17 CFR 240.13e‑4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of Each Class		Trading Symbol(s)		Name of Each Exchange on Which Registered
Common Stock, $0.05 par value		SRDX		Nasdaq Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

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 5.05

Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics.

On July 21, 2020, the Board of Directors of Surmodics, Inc. (the “Company”) approved and adopted an amended and restated Surmodics, Inc. Code of Ethics and Business Conduct (“Code of Ethics”). The Code of Ethics applies to all officers, employees and directors of the Company.

The revisions to the Code of Ethics are designed to simplify and make the language of the Code of Ethics more accessible to all employees, enhance provisions regarding privacy, information security and the use social media, and reflect the current nature of the Company’s international operations. The revisions to the Code of Ethics also include expanded methods of reporting potential violation of the Code of Ethics. The foregoing description of revisions to the Code of Ethics is subject to, and qualified in its entirety by, the full text of the amended and restated Code of Ethics, which is available at the Corporate Governance tab of the Investors section of the Company’s website at www.surmodics.com. Information on the Company’s website is not included as a part of, or incorporating by reference into, this Current Report on Form 8‑K.

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.

		SURMODICS, INC.

Date: July 23, 2020		/s/ Gordon S. Weber
		Gordon S. Weber
		Senior Vice President of Legal, General Counsel and Secretary