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. ☐
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 |
