Statement of Changes in Beneficial Ownership (4)
September 16 2020 - 6:02PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Holliday Keith |
2. Issuer Name and Ticker or Trading Symbol
STAAR SURGICAL CO
[
STAA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Technology Officer |
(Last)
(First)
(Middle)
25651 ATLANTIC OCEAN DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/14/2020 |
(Street)
LAKE FOREST, CA 92630
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/14/2020 | | M | | 1286 | A | $7.52 | 29733 | D | |
Common Stock | 9/14/2020 | | M | | 21294 | A | $9.30 | 51027 | D | |
Common Stock | 9/14/2020 | | M | | 3994 | A | $16.15 | 55021 | D | |
Common Stock | 9/14/2020 | | S | | 26574 | D | $53.26 (1) | 28447 | D | |
Common Stock | 9/14/2020 | | S | | 9115 | D | $53.49 (2) | 19332 | D | |
Common Stock | 9/15/2020 | | M | | 13217 | A | $16.15 | 32549 | D | |
Common Stock | 9/15/2020 | | M | | 10112 | A | $29.80 | 42661 | D | |
Common Stock | 9/15/2020 | | M | | 12997 | A | $35.98 | 55658 | D | |
Common Stock | 9/15/2020 | | S | | 36326 | D | $53.33 (3) | 19332 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Common Stock Options | $7.52 | 9/14/2020 | | M | | | 1286 | 3/18/2017 | 3/17/2026 | Common Stock | 1286 | $0.00 | 23714 | D | |
Common Stock Options | $9.30 | 9/14/2020 | | M | | | 21294 | 3/21/2018 | 3/20/2027 | Common Stock | 21294 | $0.00 | 16206 | D | |
Common Stock Options | $16.15 | 9/14/2020 | | M | | | 3994 | 3/15/2019 (4) | 3/14/2028 | Common Stock | 3994 | $0.00 | 21006 | D | |
Common Stock Options | $16.15 | 9/15/2020 | | M | | | 13217 | 3/15/2019 (4) | 3/14/2028 | Common Stock | 13217 | $0.00 | 7789 | D | |
Common Stock Options | $29.80 | 9/15/2020 | | M | | | 10112 | 6/14/2019 (5) | 6/13/2028 | Common Stock | 10112 | $0.00 | 3372 | D | |
Common Stock Options | $35.98 | 9/15/2020 | | M | | | 12997 | 3/14/2020 (6) | 3/13/2029 | Common Stock | 12997 | $0.00 | 12998 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.07 to $53.97, inclusive. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.25 to $54.06, inclusive. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.02 to $53.71, inclusive. |
(4) | The options granted become exercisable as follows: 1/3 on 3/15/2019 and the remaining 2/3 of such options shall become exercisable over the following 24 months in equal amounts on a monthly basis. In the event the options do not evenly divide into 24 months, the remaining balance of options granted shall become exercisable on 3/15/2021. |
(5) | The options granted become exercisable as follows: 1/3 on 6/14/2019 and the remaining 2/3 of such options shall become exercisable over the following 24 months in equal amounts on a monthly basis. In the event the options do not evenly divide into 24 months, the remaining balance of options granted shall become exercisable on 6/14/2021. |
(6) | The options granted become exercisable as follows: 1/3 on 3/14/2020 and the remaining 2/3 of such options shall become exercisable over the following 24 months in equal amounts on a monthly basis. In the event the options do not evenly divide into 24 months, the remaining balance of options granted shall become exercisable on 3/14/2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Holliday Keith 25651 ATLANTIC OCEAN DRIVE LAKE FOREST, CA 92630 |
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| Chief Technology Officer |
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Signatures
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/s/ Samuel Gesten as attorney-in-fact for Keith Holliday. | | 9/16/2020 |
**Signature of Reporting Person | Date |
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