4//SEC Filing
UROPLASTY INC 4
Accession 0001140361-14-003860
CIK 0000890846operating
Filed
Jan 29, 7:00 PM ET
Accepted
Jan 30, 5:19 PM ET
Size
17.2 KB
Accession
0001140361-14-003860
Insider Transaction Report
Form 4
Transactions
- Sale
common stock
2014-01-29$4.59/sh−52,500$241,064→ 312,680 total - Exercise/Conversion
non-qualified stock options
2014-01-29−40,000→ 0 totalExercise: $0.85From: 2009-06-05Exp: 2014-06-04→ common stock (40,000 underlying) - Award
common stock
2014-01-29$2.65/sh+12,500$33,125→ 325,180 total - Award
common stock
2014-01-29$0.85/sh+40,000$34,000→ 365,180 total - Exercise/Conversion
non-qualified stock options
2014-01-29−12,500→ 0 totalExercise: $2.65From: 2008-02-02Exp: 2014-02-01→ common stock (12,500 underlying)
Holdings
- 4,100
non-qualified stock option
Exercise: $7.98From: 2012-06-07Exp: 2018-06-06→ common stock (4,100 underlying) - 100,000
non-qualified stock options
Exercise: $5.19From: 2006-02-02Exp: 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)
Footnotes (6)
- [F1]Includes 1,275 shares of restricted stock subject to risk of forfeiture that will lapse June 8, 2014.
- [F2]Includes 1,575 shares of restricted stock subject to risk of forfeiture that will lapse with respect to one half of such shares on June 7, 2014 and June 7, 2015 respectively.
- [F3]Includes 9,825 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 7, 2012).
- [F4]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.
- [F5]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).
- [F6]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.18 to $4.821 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 purchased at each separate price within the ranges set forth in this footnote (6).
Documents
Issuer
UROPLASTY INC
CIK 0000890846
Entity typeoperating
IncorporatedMN
Related Parties
1- filerCIK 0000890846
Filing Metadata
- Form type
- 4
- Filed
- Jan 29, 7:00 PM ET
- Accepted
- Jan 30, 5:19 PM ET
- Size
- 17.2 KB