Filing Details

Accession Number:
0001140361-11-045424
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-12 10:58:55
Reporting Period:
2011-09-09
Filing Date:
2011-09-12
Accepted Time:
2011-09-12 10:58:55
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 2011-09-09 7,229 $5.20 309,680 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2015-01-01 100,000 100,000 Direct
Common Stock non-qualified stock options $2.65 2014-02-01 12,500 12,500 Direct
Common Stock non-qualified stock options $3.15 2013-06-23 10,000 10,000 Direct
Common Stock non-qualified stock options $0.85 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
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
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
2018-06-06 4,100 4,100 Direct
Footnotes
  1. Includes 3,825 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 3,150 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. Fully vested.
  4. 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).
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.19 to $5.22 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).