Home > Insider Trading > Filing (0001140361-11-031028)

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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct

Reported Derivative Transactions

Show Other Fields >>

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

Show Other Fields >>

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).
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).
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).