Filing Details
- Accession Number:
- 0001209191-10-054123
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-10 11:20:34
- Reporting Period:
- 2010-11-08
- Filing Date:
- 2010-11-10
- Accepted Time:
- 2010-11-10 11:20:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1374605 | P James Stauner | 272 East Deerpath Rd Suite 350 Lake Forest IL 60045 | 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 | 2010-11-08 | 45,000 | $1.82 | 55,725 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-08 | 28,600 | $5.59 | 27,125 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | non-qualified stock options | Disposition | 2010-11-08 | 45,000 | $1.82 | 45,000 | $1.82 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-08-28 | 2011-08-27 | 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 | $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 |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-09-14 | 15,000 | 15,000 | Direct |
| 2017-09-13 | 6,175 | 6,175 | Direct |
Footnotes
- Restricted stock subject to risk of forfeiture that lapses six months from the grant date (September 14, 2010).
- Fully vested.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions pursuant to a 10b5-1 plan adopted by Mr. Stauner in September 2010 at prices ranging from $5.50 to $5.74 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 (3).
Billionaire Hedge Funds
