Filing Details

Accession Number:
0001140361-11-031028
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-06-02 16:51:37
Reporting Period:
2011-05-31
Filing Date:
2011-06-02
Accepted Time:
2011-06-02 16:51:37
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
Chief Operating Officer 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 2011-05-31 6,000 $8.08 315,759 No 4 S Direct
Common Stock Disposition 2011-05-31 6,000 $8.04 309,759 No 4 S Direct
Common Stock Acquisiton 2011-06-02 10,000 $4.31 314,659 No 4 M Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 M Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock non-qualified stock options Disposition 2011-06-02 10,000 $0.00 10,000 $4.31
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2007-07-03 2012-07-02 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 options $5.19 2006-02-02 2015-01-01 100,000 100,000 Direct
Common Stock non-qualified stock options $2.65 2008-02-02 2014-02-01 12,500 12,500 Direct
Common Stock non-qualified stock options $3.15 2008-06-24 2013-06-23 10,000 10,000 Direct
Common Stock non-qualified stock options $0.85 2009-06-05 2014-06-04 40,000 40,000 Direct
Common Stock 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
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
  1. 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).
  2. Fully vested.
  3. 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.
  4. 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).
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.05 to $8.121 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 (5).
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.99 to $8.082 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 (6).