Filing Details
- Accession Number:
- 0001140361-11-031436
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-06 14:20:58
- Reporting Period:
- 2011-06-03
- Filing Date:
- 2011-06-06
- Accepted Time:
- 2011-06-06 14:20:58
- 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 | 2011-06-03 | 1,500 | $7.99 | 313,159 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-06-03 | 1,059 | $8.00 | 312,100 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | $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
- 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).
- Fully vested.
- 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).
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