UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 144

NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.

 

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SEC USE ONLY
DOCUMENT SEQUENCE NO

CUSIP NUMBER

 

1 (a) NAME OF ISSUER (Please type or print) (b) IRS INDENT NO. (c) S.E.C. FILE NO.   WORK LOCATION
STAAR Surgical Company 95-3797439 0-11634    
1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE   (e) TELEPHONE NO
  25651 Atlantic Ocean Drive Lake Forest California 92630   (626) 303-7902
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD   (b) RELATIONSHIP TO ISSUER (c) ADDRESS STREET CITY STATE ZIP CODE
Broadwood Partners, L.P.   10% stockholder 142 West 57th Street, 11th Floor New York New York 10019
INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R. S. Identification Number and the S.E.C. File Number.
                           

 

3 (a)

Title of the Class of Securities To Be Sold

(b)

Name and Address of Each Broker Through Whom the
Securities are to be Offered or Each Market Maker
who is Acquiring the Securities

SEC USE ONLY

(c)

Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))

(d)

Aggregate
Market

Value

(See instr. 3(d))

(e)

Number of Shares
or Other Units
Outstanding
(See instr. 3(e))

(f)

Approximate
Date of Sale

(See instr. 3(f))
(MO. DAY YR.)

(g)

Name of Each
Securities
Exchange

(See instr. 3(g))

Broker-Dealer
File Number
Common Stock, par value $0.01 per share

BTIG, LLC

600 Montgomery Street, 6th Floor

San Francisco, California 94111

  60,000 $5,365,200 46,109,765 January 12, 2021 NASDAQ

 

INSTRUCTIONS:

1. (a) Name of issuer

Issuer’s I.R.S. Identification Number

Issuer’s S.E.C. file number, if any

Issuer’s address, including zip code

Issuer’s telephone number, including area code

2. (a) Name of person for whose account the securities are to be sold

Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)

Such person’s address, including zip code

3. (a) Title of the class of securities to be sold

Name and address of each broker through whom the securities are intended to be sold

Number of shares or other units to be sold (if debt securities, give the aggregate face amount)

Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

Approximate date on which the securities are to be sold

Name of each securities exchange, if any, on which the securities are intended to be sold

 
 

TABLE I –– SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:

Title of
the Class
Date you
Acquired
Nature of Acquisition Transaction Name of Person from Whom Acquired
(If gift, also give date donor acquired)
  Amount of
Securities Acquired
Date of
Payment
Nature of Payment
Common Stock, par value $0.01 per share May 3, 2019 Purchases The shares were purchased in an open market transaction.   100,000 May 3, 2019 Cash

 

INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at

the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

Name and Address of Seller Title of Securities Sold Date of Sale Amount of
Securities Sold
Gross Proceeds
         

 

REMARKS:

 

INSTRUCTIONS:

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

  ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-I under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

 

 

  January 12, 2021      
  DATE OF NOTICE   (SIGNATURE)    
  DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 1085-1
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy
of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.

 

ATTENTION: Intentional misstatements or omission of facts constitute. Federal Criminal Violations (See 18 U.S.C. 1001)