Home > Insider Trading > Filing (0001140361-13-045777)

Filing Details

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
1189089	Patrick Robert Maxwell	Uroplasty, Inc. 5420 Feltl Road Minnetonka MN 55343		Yes	No	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	2013-12-10	3,819	$2.50	140,403	No	4	P	Direct
Common Stock	Disposition	2013-12-11	3,819	$2.70	136,584	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	S	Direct

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	non-qualified stock options	$0.77	2009-09-15	2014-09-14	15,000	15,000	Direct
Common Stock	non-qualified stock options	$4.16	2011-09-14	2017-09-13	6,175	6,175	Direct
Common Stock	non-qualified stock options	$4.83	2012-09-14	2018-09-13	5,475	5,475	Direct
Common Stock	non-qualified stock options	$3.76	2013-09-13	2019-09-12	7,025	7,025	Direct
Common Stock	non-qualifed stock option	$3.46	2014-09-12	2020-09-11	8,625	8,625	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2014-09-14	15,000	15,000	Direct
2017-09-13	6,175	6,175	Direct
2018-09-13	5,475	5,475	Direct
2019-09-12	7,025	7,025	Direct
2020-09-11	8,625	8,625	Direct

Footnotes

Includes 4,350 shares of restricted stock subject to risk of forfeiture that lapses on March 12, 2014 (six months after the grant date).
The reporting person's purchase of 3,819 shares of the issuer's common stock reported herein was potentially in violation of the issuer's insider trading guidelines. In an effort to remedy any potential violation of the issuer's insider trading guidelines, the reporting person sold 3,819 shares of the issuer's common stock as reported herein. However, the reported purchase and sale were matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended. Accordingly, the reporting person has agreed to pay to the issuer $763.80, representing the full amount of the profit realized by the reporting person in connection with the short-swing transaction.