SEC Form 4 · accession 0001235802-15-000034
UROPLASTY INC · UPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Robert Kill
Officer — President and CEO · Director
Period of report
Mar 31, 2015
Accepted (ET)
Apr 2, 2015 · 3:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000890846
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 31, 2015 | D | 431,668 | — | D | 0 | I | By Trust |
| Common StockF2 | Mar 31, 2015 | D | 93,332 | — | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $5.26 | Mar 31, 2015 | D | 4,900 | D | — | Dec 5, 2017 | Common Stock | 4,900 | 0 | D |
| Stock Option (right to buy)F4 | $4.83 | Mar 31, 2015 | D | 5,475 | D | — | Sep 13, 2018 | Common Stock | 5,475 | 0 | D |
| Stock Option (right to buy)F5 | $3.76 | Mar 31, 2015 | D | 7,025 | D | — | Mar 12, 2019 | Common Stock | 7,025 | 0 | D |
| Stock Option (right to buy)F6 | $2.34 | Mar 31, 2015 | D | 700,000 | D | — | Jul 22, 2020 | Common Stock | 700,000 | 0 | D |
Explanation of responses
- F1Disposed of pursuant to merger agreement between issuer and Cogentix Medical, Inc., formerly Vision-Sciences, Inc. ("Cogentix"), in exchange for 313,658 shares of Cogentix common stock on the effective date of the merger.
- F2These shares are subject to restricted stock assumed by Cogentix in the merger and replaced with 67,816 shares of Cogentix stock valued at $4.56 per shares.
- F3This option is fully vested, was assumed by Cogentix in the merger and replaced with an option to purchase 3,560 shares of Cogentix stock for $7.24 per share.
- F4This option is fully vested, was assumed by Cogentix in the merger and replaced with an option to purchase 3,978 shares of Cogentix stock for $6.65 per share.
- F5This option is fully vested, was assumed by Cogentix in the merger and replaced with an option to purchase 5,104 shares of Cogentix stock for $5.18 per share.
- F6This option, which provided for vesting in three almost equal annual installments beginning on July 23, 2014, was assumed by Cogentix in the merger and replaced with an option to purchase 508,633 shares of Cogentix stock for $3.23 per share.