Filing Details

Accession Number:
0001140361-13-045777
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-12 09:26:33
Reporting Period:
2013-12-10
Filing Date:
2013-12-12
Accepted Time:
2013-12-12 09:26:33
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
1189089 Patrick Robert Maxwell Uroplasty, Inc.
5420 Feltl Road
Minnetonka MN 55343
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 2013-12-10 3,819 $2.50 140,403 No 4 P Direct
Common Stock Disposition 2013-12-11 3,819 $2.70 136,584 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P 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 $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
Common Stock non-qualified stock options $4.83 2012-09-14 2018-09-13 5,475 5,475 Direct
Common Stock non-qualified stock options $3.76 2013-09-13 2019-09-12 7,025 7,025 Direct
Common Stock non-qualifed stock option $3.46 2014-09-12 2020-09-11 8,625 8,625 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
2018-09-13 5,475 5,475 Direct
2019-09-12 7,025 7,025 Direct
2020-09-11 8,625 8,625 Direct
Footnotes
  1. Includes 4,350 shares of restricted stock subject to risk of forfeiture that lapses on March 12, 2014 (six months after the grant date).
  2. The reporting person's purchase of 3,819 shares of the issuer's common stock reported herein was potentially in violation of the issuer's insider trading guidelines. In an effort to remedy any potential violation of the issuer's insider trading guidelines, the reporting person sold 3,819 shares of the issuer's common stock as reported herein. However, the reported purchase and sale were matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended. Accordingly, the reporting person has agreed to pay to the issuer $763.80, representing the full amount of the profit realized by the reporting person in connection with the short-swing transaction.