Filing Details
- Accession Number:
- 0001209191-11-007250
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-04 17:22:28
- Reporting Period:
- 2011-02-02
- Filing Date:
- 2011-02-04
- Accepted Time:
- 2011-02-04 17:22:28
- 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 | 5420 Feltl Rd Minnetonka MN 55343 | Coo | 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 | 2011-02-02 | 12,000 | $5.12 | 321,759 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | employee non-qualified stock options | $5.19 | 2006-02-02 | 2015-01-01 | 100,000 | 100,000 | Direct |
Common Stock | employee non-qualified stock options | $2.65 | 2008-02-02 | 2014-02-01 | 12,500 | 12,500 | Direct |
Common Stock | employee non-qualified stock options | $4.31 | 2007-07-03 | 2012-07-02 | 10,000 | 10,000 | Direct |
Common Stock | employee non-qualified stock options | $3.15 | 2008-06-24 | 2013-06-23 | 10,000 | 10,000 | Direct |
Common Stock | employee non-qualified stock options | $0.85 | 2009-06-05 | 2014-06-04 | 40,000 | 40,000 | Direct |
Common Stock | employee non-qualified stock options | $4.94 | 2011-06-08 | 2017-06-07 | 6,525 | 6,525 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2015-01-01 | 100,000 | 100,000 | Direct |
2014-02-01 | 12,500 | 12,500 | Direct |
2012-07-02 | 10,000 | 10,000 | Direct |
2013-06-23 | 10,000 | 10,000 | Direct |
2014-06-04 | 40,000 | 40,000 | Direct |
2017-06-07 | 6,525 | 6,525 | Direct |
Footnotes
- Includes 5,100 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 8, 2010).
- 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.
- Fully vested.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.11 to $5.14 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 sold at each separate price within the ranges set forth in this footnote (4) .