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SurModics 8-K 2017

Documents found in this filing:

  1. 8-K
  2. Ex-99.1
  3. Graphic
  4. Graphic
  5. Graphic
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


 
November 3, 2017
 
 
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 74th 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)) 

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 8.01  Other Events. 
                          

Surmodics, Inc. (the “Company”) has appointed Broadridge Corporate Issuer Solutions, Inc. (“Broadridge”) as its transfer agent and registrar effective November 3, 2017.  All of the Company’s registered shares of common stock have been transferred from the Company’s previous transfer agent, American Stock Transfer & Trust Company, LLC, to Broadridge.  A sample copy of a letter notifying shareholders of this change is attached hereto as Exhibit 99.1 and is incorporated herein by reference.


Item 9.01  Financial Statements and Exhibits. 
                          

(d)    Exhibits 
     
    99.1             Letter to Shareholders Regarding Change in Transfer Agent 
            



 
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: November 3, 2017  /s/   Bryan K. Phillips  
  Bryan K. Phillips  
  Sr. Vice President, General Counsel and Secretary  
 

 
EXHIBIT INDEX
 
 
Exhibit
Number
 
Description
 
Manner of Filing
   
Filed Electronically



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