Filing Details

Accession Number:
0001140361-12-041133
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-09-21 12:54:52
Reporting Period:
2012-09-20
Filing Date:
2012-09-21
Accepted Time:
2012-09-21 12:54:52
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
1501774 A Nancy Kolb Uroplasty, Inc.
5420 Feltl Road
Minnetonka MN 55343
Vicepresident Global Marketing 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 Acquisiton 2012-09-20 25,000 $4.11 49,925 No 4 M Direct
Common Stock Acquisiton 2012-09-20 15,000 $3.15 64,925 No 4 M Direct
Common Stock Disposition 2012-09-20 40,000 $4.20 24,925 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
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 option Acquisiton 2012-09-20 25,000 $4.11 25,000 $4.11
Common Stock non-qualified stock option Acquisiton 2012-09-20 15,000 $3.15 25,000 $3.15
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2007-10-01 2012-09-30 No 4 M Direct
10,000 2008-06-24 2013-06-23 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 option $0.85 2009-06-05 2014-06-04 40,000 40,000 Direct
Common Stock non-qualified stock option $4.94 2011-06-08 2017-06-07 6,525 6,525 Direct
Common Stock non-qualified stock option $7.98 2012-06-07 2018-06-06 4,100 4,100 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-06-04 40,000 40,000 Direct
2017-06-07 6,525 6,525 Direct
2018-06-06 4,100 4,100 Direct
Footnotes
  1. Includes 2,550 shares of restricted stock subject to risk of forfeiture that lapses with respect to one third of such shares on each of the second, third and fourth anniversaries of the grant date (June 8, 2010).
  2. Includes 2,362 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 7, 2011).
  3. Includes 12,275 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 7, 2012).
  4. 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.
  5. 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).