<SEC-DOCUMENT>0001157523-20-000208.txt : 20200218
<SEC-HEADER>0001157523-20-000208.hdr.sgml : 20200218
<ACCEPTANCE-DATETIME>20200218060115
ACCESSION NUMBER:		0001157523-20-000208
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20200213
ITEM INFORMATION:		Submission of Matters to a Vote of Security Holders
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20200218
DATE AS OF CHANGE:		20200218

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			SURMODICS INC
		CENTRAL INDEX KEY:			0000924717
		STANDARD INDUSTRIAL CLASSIFICATION:	SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
		IRS NUMBER:				411356149
		STATE OF INCORPORATION:			MN
		FISCAL YEAR END:			0930

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-23837
		FILM NUMBER:		20623146

	BUSINESS ADDRESS:	
		STREET 1:		9924 W 74TH ST
		CITY:			EDEN PRAIRIE
		STATE:			MN
		ZIP:			55344
		BUSINESS PHONE:		9525007000

	MAIL ADDRESS:	
		STREET 1:		9924 WEST 74TH ST
		CITY:			EDEN PRAIRIE
		STATE:			MN
		ZIP:			55344

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	BSI CORP
		DATE OF NAME CHANGE:	19970506
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>a52174300.htm
<DESCRIPTION>SURMODICS, INC. 8-K
<TEXT>
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    <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 16pt; font-weight: bold;">UNITED STATES</div>
    <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 16pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
    <div style="text-align: center; font-weight: bold;">Washington, D.C. 20549</div>
    <div><br>
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    <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 16pt; font-weight: bold;">FORM 8-K</div>
    <div><br>
    </div>
    <div style="text-align: center; font-weight: bold;">CURRENT REPORT</div>
    <div style="text-align: center; font-weight: bold;">PURSUANT TO SECTION 13 OR 15(d) OF THE</div>
    <div style="text-align: center; font-weight: bold;">SECURITIES EXCHANGE ACT OF 1934</div>
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            <div style="text-align: center; font-weight: bold;">February 13, 2020</div>
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            <div style="text-align: center;">Date of report (Date of earliest event reported)</div>
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          <td style="width: 100%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0); font-size: 16pt;">
            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-weight: bold;">Surmodics, Inc.</div>
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        <tr>
          <td style="width: 100%; vertical-align: top;">
            <div style="text-align: center;">(Exact Name of Registrant as Specified in its Charter)</div>
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          <td style="width: 30%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center; font-weight: bold;">Minnesota</div>
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            <div style="text-align: center; font-weight: bold;">0-23837</div>
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            <div style="text-align: center; font-weight: bold;">41-1356149</div>
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            <div style="text-align: center;">(State of Incorporation)</div>
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            <div style="text-align: center;">(Commission File Number)</div>
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          <td style="width: 5%; vertical-align: top;">&#160;</td>
          <td style="width: 30%; vertical-align: top;">
            <div style="text-align: center;">(I.R.S. Employer</div>
            <div style="text-align: center;">Identification No.)</div>
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          <td style="width: 40%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center; font-weight: bold;">9924 West 74<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">th</sup> Street</div>
            <div style="text-align: center; font-weight: bold;">Eden Prairie, Minnesota</div>
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          <td style="width: 30%; vertical-align: top;">&#160;</td>
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            <div>&#160;</div>
            <div style="text-align: center; font-weight: bold;">55344</div>
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            <div style="text-align: center;">(Address of Principal Executive Offices)</div>
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          <td style="width: 30%; vertical-align: top;">&#160;</td>
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            <div style="text-align: center;">(Zip Code)</div>
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        <tr>
          <td style="width: 100%; vertical-align: top; border-bottom: #000000 2px solid;">
            <div style="text-align: center; font-weight: bold;">(952) 500-7000</div>
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        </tr>
        <tr>
          <td style="width: 100%; vertical-align: top;">
            <div style="text-align: center;">(Registrant&#8217;s Telephone Number, Including Area Code)</div>
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    </div>
    <div style="text-align: justify; text-indent: 18pt;">Check the appropriate box below if the Form&#160;8&#8209;K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction
      A.2):</div>
    <div><br>
    </div>
    <div>&#9744; Written communications pursuant to Rule&#160;425 under the Securities Act (17 CFR 230.425)</div>
    <div>&#160;</div>
    <div>&#9744; Soliciting material pursuant to Rule&#160;14a&#8209;12 under the Exchange Act (17 CFR 240.14a&#8209;12)</div>
    <div>&#160;</div>
    <div style="text-align: justify;">&#9744; Pre&#8209;commencement communications pursuant to Rule&#160;14d&#8209;2(b) under the Exchange Act (17 CFR 240.14d&#8209;2(b))</div>
    <div>&#160;</div>
    <div style="text-align: justify;">&#9744; Pre&#8209;commencement communications pursuant to Rule&#160;13e&#8209;4(c) under the Exchange Act (17 CFR 240.13e&#8209;4(c))</div>
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    <div style="text-align: center; font-weight: bold;">Securities registered pursuant to Section&#160;12(b) of the Act:</div>
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          <td style="width: 32.79%; vertical-align: bottom;">
            <div style="text-align: center; font-weight: bold;"><u>Title of Each Class</u></div>
          </td>
          <td style="width: 33%; vertical-align: bottom;">
            <div style="text-align: center; font-weight: bold;"><u>Trading Symbol(s)</u></div>
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          <td style="width: 34%; vertical-align: bottom;">
            <div style="text-align: center; font-weight: bold;"><u>Name of Each Exchange on Which Registered</u></div>
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          <td style="width: 32.79%; vertical-align: top;">
            <div style="text-align: center;">Common Stock, $0.05 par value</div>
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          <td style="width: 33%; vertical-align: top;">
            <div style="text-align: center;">SRDX</div>
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          <td style="width: 34%; vertical-align: top;">
            <div style="text-align: center;">Nasdaq Global Select Market</div>
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    <div>&#160;</div>
    <div style="text-align: justify;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934
      (&#167;240.12b-2 of this chapter).</div>
    <div>&#160;</div>
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          <td style="width: 95%; vertical-align: top;">
            <div style="text-align: right;">Emerging growth company</div>
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          <td style="width: 5%; vertical-align: top;">
            <div style="text-align: center; font-family: 'Times New Roman',Times,serif;">&#9744;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 95%; vertical-align: top;" rowspan="1">&#160;</td>
          <td style="width: 5%; vertical-align: top;" rowspan="1">&#160;</td>
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          <td style="width: 95%; vertical-align: top;">
            <div style="text-align: justify; font-family: 'Times New Roman',Times,serif; text-indent: 0pt; margin-left: 27pt;">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.</div>
          </td>
          <td style="width: 5%; vertical-align: top;">
            <div style="text-align: center; font-family: 'Times New Roman',Times,serif;">&#9744;</div>
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              <td style="width: 58.3pt; vertical-align: top; align: right; font-weight: bold;">Item&#160;5.07</td>
              <td style="width: auto; vertical-align: top; text-align: justify;">
                <div style="font-weight: bold;">Submission of Matters to a Vote of Security Holders.</div>
              </td>
            </tr>

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      </div>
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    <div>&#160;</div>
    <div style="text-align: justify; text-indent: 36pt;">The Annual Meeting of Shareholders of Surmodics, Inc. (the &#8220;Company&#8221;) was held on February 13, 2020.&#160; The final voting results of the proposals which were described in more detail in the Company&#8217;s
      proxy statement filed with the Securities and Exchange Commission on December 23, 2019, are set forth below.</div>
    <div>&#160;</div>
    <div>1.<font id="TRGRRTFtoHTMLTab" style="text-indent: 0px; font-size: 5.14pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><u>Election of Directors</u>.&#160; Each of the individuals nominated by the Company&#8217;s Board of Directors to serve as Class III directors was duly elected by
      the Company&#8217;s shareholders, and the final results of the votes cast are as follows:</div>
    <div>&#160;</div>
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        <tr>
          <td style="width: 30%; vertical-align: bottom;">&#160;</td>
          <td style="width: 22.07%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">For</div>
          </td>
          <td style="width: 1.56%; vertical-align: bottom;">&#160;</td>
          <td style="width: 22.07%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">Withheld</div>
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          <td style="width: 1.56%; vertical-align: bottom;">&#160;</td>
          <td style="width: 22.07%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">Broker Non-Votes</div>
          </td>
        </tr>
        <tr>
          <td style="width: 30%; vertical-align: bottom;">
            <div>Jos&#233; H. Bedoya</div>
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          <td style="width: 22.07%; vertical-align: bottom; border-top: #000000 2px solid;">
            <div style="text-align: center;">10,642,383</div>
          </td>
          <td style="width: 1.56%; vertical-align: bottom;">&#160;</td>
          <td style="width: 22.07%; vertical-align: bottom; border-top: #000000 2px solid;">
            <div style="text-align: center;">398,767</div>
          </td>
          <td style="width: 1.56%; vertical-align: bottom;">&#160;</td>
          <td style="width: 22.07%; vertical-align: bottom; border-top: #000000 2px solid;">
            <div style="text-align: center;">1,129,140</div>
          </td>
        </tr>
        <tr>
          <td style="width: 30%; vertical-align: bottom;">
            <div>Susan E. Knight</div>
          </td>
          <td style="width: 22.07%; vertical-align: bottom;">
            <div style="text-align: center;">10,739,674</div>
          </td>
          <td style="width: 1.56%; vertical-align: bottom;">&#160;</td>
          <td style="width: 22.07%; vertical-align: bottom;">
            <div style="text-align: center;">301,476</div>
          </td>
          <td style="width: 1.56%; vertical-align: bottom;">&#160;</td>
          <td style="width: 22.07%; vertical-align: bottom;">
            <div style="text-align: center;">1,129,140</div>
          </td>
        </tr>

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    <div><br>
    </div>
    <div>&#160;</div>
    <div>2.<font id="TRGRRTFtoHTMLTab" style="text-indent: 0px; font-size: 5.14pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><u>Set the Number of Directors</u>.&#160; The Company&#8217;s shareholders approved the proposal to set the number of directors at seven (7) by the following vote:</div>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" align="center" id="z0e9063fcbf394145be2f6667fd421325" style="border-collapse: collapse; width: 80%; color: #000000; font-family: 'Times New Roman', Times, serif; font-size: 10pt; text-align: left;">

        <tr>
          <td style="width: 23%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">For</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">Against</div>
          </td>
          <td style="width: 1.8%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">Abstain</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">Broker Non-Votes</div>
          </td>
        </tr>
        <tr>
          <td style="width: 23%; vertical-align: bottom; border-top: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">11,020,240</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23%; vertical-align: bottom; border-top: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">1,789</div>
          </td>
          <td style="width: 1.8%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-top: #000000 2px solid;">
            <div style="text-align: center;">19,121</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-top: #000000 2px solid;">
            <div style="text-align: center;">1,129,140</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div>&#160;</div>
    <div>3.<font id="TRGRRTFtoHTMLTab" style="text-indent: 0px; font-size: 5.14pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><u>Ratification of the Appointment of Deloitte &amp; Touche LLP</u>.&#160; The Company&#8217;s shareholders ratified the appointment of Deloitte &amp; Touche LLP as
      the Company&#8217;s independent registered public accounting firm for fiscal year 2020 by the following vote:</div>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" align="center" id="ze7a7621e8d41422e8fa048e45647d5d7" style="border-collapse: collapse; width: 80%; color: #000000; font-family: 'Times New Roman', Times, serif; font-size: 10pt; text-align: left;">

        <tr>
          <td style="width: 23%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">For</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">Against</div>
          </td>
          <td style="width: 1.8%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">Abstain</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">Broker Non-Votes</div>
          </td>
        </tr>
        <tr>
          <td style="width: 23%; vertical-align: bottom; border-top: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">12,065,902</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23%; vertical-align: bottom; border-top: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">84,715</div>
          </td>
          <td style="width: 1.8%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-top: #000000 2px solid;">
            <div style="text-align: center;">19,673</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-top: #000000 2px solid;">
            <div style="text-align: center;">-</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div><br>
    </div>
    <div>4.<font id="TRGRRTFtoHTMLTab" style="text-indent: 0px; font-size: 5.14pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><u>Advisory Vote on Executive Compensation</u>.&#160; The Company&#8217;s shareholders approved the compensation of the Company&#8217;s named executive officers, on an
      advisory basis, by the following vote:</div>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" align="center" id="z44ff5371f88c4450abfae3f5df366b8c" style="border-collapse: collapse; width: 80%; color: #000000; font-family: 'Times New Roman', Times, serif; font-size: 10pt; text-align: left;">

        <tr>
          <td style="width: 23%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">For</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">Against</div>
          </td>
          <td style="width: 1.8%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">Abstain</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23.71%; vertical-align: bottom; border-bottom: #000000 2px solid;">
            <div style="text-align: center;">Broker Non-Votes</div>
          </td>
        </tr>
        <tr>
          <td style="width: 23%; vertical-align: bottom; border-top: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">10,662,542</div>
          </td>
          <td style="width: 1.67%; vertical-align: bottom;">&#160;</td>
          <td style="width: 23%; vertical-align: bottom; border-top: 2px solid rgb(0, 0, 0);">
            <div style="text-align: center;">296,400</div>
          </td>
          <td style="width: 1.8%; vertical-align: bottom;">&#160;</td>
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            <div style="text-align: center;">82,208</div>
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            <div style="text-align: center;">1,129,140</div>
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    <div>&#160;</div>
    <div>&#160;</div>
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                <div style="font-weight: bold;">Other Events.</div>
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    <div>&#160;</div>
    <div style="text-align: justify; text-indent: 54pt;">Gregg Sutton, Vice President, Research and Development, of the Company notified the Company of his intention to retire from the Company on March 2, 2020.</div>
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    <div style="text-align: center;">SIGNATURES</div>
    <div>&#160;</div>
    <div style="text-align: justify; text-indent: 36pt;">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.</div>
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          <td style="width: 50%; vertical-align: bottom;">&#160;</td>
          <td style="width: 50%; vertical-align: bottom; text-indent: 9pt;">SURMODICS, INC. <br>
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          <td rowspan="1" style="width: 50%; vertical-align: bottom;">&#160;</td>
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          <td rowspan="1" style="width: 50%; vertical-align: bottom; padding-bottom: 2px;">Date:&#160; February 18, 2020<font style="text-indent: 0px; font-size: 5.05pt;">&#160;</font> <br>
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          <td rowspan="1" style="width: 50%; vertical-align: bottom; text-indent: 27pt; border-bottom: 2px solid rgb(0, 0, 0);">/s/&#160;&#160;&#160;&#160;&#160;&#160;&#160; Timothy J. Arens <br>
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          <td rowspan="1" style="width: 50%; vertical-align: bottom; text-indent: 27pt;">Timothy J. Arens <br>
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          <td rowspan="1" style="width: 50%; vertical-align: bottom;">&#160;</td>
          <td rowspan="1" style="width: 50%; vertical-align: bottom; text-indent: 27pt;">Vice President of Finance and Chief Financial Officer <br>
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