HOLMAN SUSAN HARTJES 4
4 · UROPLASTY INC · Filed Sep 12, 2011
Insider Transaction Report
Form 4
Transactions
- Sale
common stock
2011-09-09$5.20/sh−7,229$37,565→ 309,680 total
Holdings
- 10,000
non-qualified stock options
Exercise: $3.15Exp: 2013-06-23→ common stock (10,000 underlying) - 12,500
non-qualified stock options
Exercise: $2.65Exp: 2014-02-01→ common stock (12,500 underlying) - 100,000
non-qualified stock options
Exercise: $5.19Exp: 2015-01-01→ common stock (100,000 underlying) - 6,525
non-qualified stock options
Exercise: $4.94From: 2011-06-08Exp: 2017-06-07→ common stock (6,525 underlying) - 40,000
non-qualified stock options
Exercise: $0.85Exp: 2014-06-04→ common stock (40,000 underlying) - 4,100
non-qualified stock option
Exercise: $7.98From: 2012-06-07Exp: 2018-06-06→ common stock (4,100 underlying)
Footnotes (5)
- [F1]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).
- [F2]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).
- [F3]Fully vested.
- [F4]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).
- [F5]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).