UROPLASTY INC 4
4 · UROPLASTY INC · Filed Dec 12, 2013
Insider Transaction Report
Form 4
MAXWELL ROBERT PATRICK
Director
Transactions
- Purchase
common stock
2013-12-10$2.50/sh+3,819$9,548→ 140,403 total - Sale
common stock
2013-12-11$2.70/sh−3,819$10,311→ 136,584 total
Holdings
- 6,175
non-qualified stock options
Exercise: $4.16From: 2011-09-14Exp: 2017-09-13→ common stock (6,175 underlying) - 5,475
non-qualified stock options
Exercise: $4.83From: 2012-09-14Exp: 2018-09-13→ common stock (5,475 underlying) - 15,000
non-qualified stock options
Exercise: $0.77From: 2009-09-15Exp: 2014-09-14→ common stock (15,000 underlying) - 7,025
non-qualified stock options
Exercise: $3.76From: 2013-09-13Exp: 2019-09-12→ common stock (7,025 underlying) - 8,625
non-qualifed stock option
Exercise: $3.46From: 2014-09-12Exp: 2020-09-11→ common stock (8,625 underlying)
Footnotes (2)
- [F1]Includes 4,350 shares of restricted stock subject to risk of forfeiture that lapses on March 12, 2014 (six months after the grant date).
- [F2]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.