Filing Details
- Accession Number:
- 0001140361-14-011399
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-06 14:49:12
- Reporting Period:
- 2014-03-04
- Filing Date:
- 2014-03-06
- Accepted Time:
- 2014-03-06 14:49:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1205664 | Hartjes Susan Holman | Uroplasty, Inc 5420 Feltl Road Minnetonka MN 55343 | Sr. Vp Operations & Regulatory | 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 | Disposition | 2014-03-04 | 16,772 | $4.03 | 295,908 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-03-05 | 20,862 | $3.95 | 275,046 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-03-06 | 366 | $3.92 | 274,680 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | 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 | $5.19 | 2006-02-02 | 2015-01-01 | 100,000 | 100,000 | Direct |
| Common Stock | non-qualified stock options | $4.94 | 2011-06-08 | 2017-06-07 | 6,525 | 6,525 | Direct |
| Common Stock | non-qualified stock options | $7.98 | 2012-06-07 | 2018-06-06 | 4,100 | 4,100 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-01-01 | 100,000 | 100,000 | Direct |
| 2017-06-07 | 6,525 | 6,525 | Direct |
| 2018-06-06 | 4,100 | 4,100 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.07 per share, inclusive. The reporting person undertakes to provide to Uroplasty, Inc., any security holder of Uroplasty, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1)
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.84 to $4.01 per share, inclusive. The reporting person undertakes to provide to Uroplasty, Inc., any security holder of Uroplasty, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2)
- 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)
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.92 to $3.93 per share, inclusive. The reporting person undertakes to provide to Uroplasty, Inc., any security holder of Uroplasty, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (4)
Billionaire Hedge Funds
