UROPLASTY INC 4

4 · UROPLASTY INC · Filed Sep 11, 2013

Form 4

Period: 2013-09-09

VP Global Marketing

Transactions

Exercise/Conversion
common stock
2013-09-09$0.85/sh+40,000$34,000→ 64,925 total
Tax Payment
common stock
2013-09-09$3.44/sh−9,884$34,001→ 55,041 total
Tax Payment
common stock
2013-09-09$3.44/sh−7,484$25,745→ 47,557 total
Exercise/Conversion
non-qualified stock option
2013-09-09$0.85/sh+40,000$34,000→ 0 total
Exercise: $0.85From: 2009-06-05Exp: 2014-06-04→ common stock (40,000 underlying)

Holdings

non-qualified stock option
Exercise: $4.94From: 2011-06-08Exp: 2017-06-07→ common stock (6,525 underlying)
6,525
non-qualified stock option
Exercise: $7.98From: 2012-06-07Exp: 2018-06-06→ common stock (4,100 underlying)
4,100

Footnotes (6)

[F1]Includes shares of restricted stock subject to risk of forfeiture that lapse with respect to 3,856 shares on June 7, 2014; 1,275 shares on June 8, 2014; 3,856 shares on June 7, 2015; and 3,068 shares on June 7, 2016.
[F2]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.
[F3]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).
[F4]In lieu of cash paid, 9,884 shares were tendered with a market value of $3.44 per share, the closing share price on the date of exercise.
[F5]Shares tendered as payment of exercise price for the non-qualified stock option exercised on 9/09/2013.
[F6]Shares forfeited as payment of income tax liability for the non-qualifiesd stock option exercised on 9/09/2013.

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