Filing Details
- Accession Number:
- 0001140361-12-041133
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-21 12:54:52
- Reporting Period:
- 2012-09-20
- Filing Date:
- 2012-09-21
- Accepted Time:
- 2012-09-21 12:54:52
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
890846 | Uroplasty Inc | UPI | Surgical & Medical Instruments & Apparatus (3841) | 411719250 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1501774 | A Nancy Kolb | Uroplasty, Inc. 5420 Feltl Road Minnetonka MN 55343 | Vicepresident Global Marketing | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-09-20 | 25,000 | $4.11 | 49,925 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2012-09-20 | 15,000 | $3.15 | 64,925 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-09-20 | 40,000 | $4.20 | 24,925 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | non-qualified stock option | Acquisiton | 2012-09-20 | 25,000 | $4.11 | 25,000 | $4.11 |
Common Stock | non-qualified stock option | Acquisiton | 2012-09-20 | 15,000 | $3.15 | 25,000 | $3.15 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2007-10-01 | 2012-09-30 | No | 4 | M | Direct |
10,000 | 2008-06-24 | 2013-06-23 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | non-qualified stock option | $0.85 | 2009-06-05 | 2014-06-04 | 40,000 | 40,000 | Direct |
Common Stock | non-qualified stock option | $4.94 | 2011-06-08 | 2017-06-07 | 6,525 | 6,525 | Direct |
Common Stock | non-qualified stock option | $7.98 | 2012-06-07 | 2018-06-06 | 4,100 | 4,100 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-06-04 | 40,000 | 40,000 | Direct |
2017-06-07 | 6,525 | 6,525 | Direct |
2018-06-06 | 4,100 | 4,100 | Direct |
Footnotes
- Includes 2,550 shares of restricted stock subject to risk of forfeiture that lapses with respect to one third of such shares on each of the second, third and fourth anniversaries of the grant date (June 8, 2010).
- Includes 2,362 shares of restricted stock subject to risk of forfeiture that lapses with respect to one fourth of such shares on each of the first, second, third and fourth anniversaries of the grant date (June 7, 2011).
- Includes 12,275 shares of restricted stock subject to risk of forfeiture that lapses with respect to one fourth of such shares on each of the first, second, third and fourth anniversaries of the grant date (June 7, 2012).
- Becomes exercisable with respect to one-third of the shares on such date, and an additional, cumulative one-third on the first and second anniversary of such date.
- Becomes exercisable with respect to one-third of the shares on the first, second and third anniversaries of the grant date (the grant date being one year prior to such date).