UROPLASTY INC 4

4 · UROPLASTY INC · Filed Jan 30, 2014

Form 4

Period: 2014-01-29

COO

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 total
Exercise: $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 total
Exercise: $2.65From: 2008-02-02Exp: 2014-02-01→ common stock (12,500 underlying)

Holdings

non-qualified stock option
Exercise: $7.98From: 2012-06-07Exp: 2018-06-06→ common stock (4,100 underlying)
4,100
non-qualified stock options
Exercise: $5.19From: 2006-02-02Exp: 2015-01-01→ common stock (100,000 underlying)
100,000
non-qualified stock options
Exercise: $4.94From: 2011-06-08Exp: 2017-06-07→ common stock (6,525 underlying)
6,525

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

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