Statement of Changes in Beneficial Ownership (4)
February 12 2021 - 6:53PM
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
*
BROADWOOD PARTNERS, L.P. |
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 __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O BROADWOOD CAPITAL INC., 142 WEST 57TH STREET, 11TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/10/2021 |
(Street)
NEW YORK, NY 10019
(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)
___ Form filed by One Reporting Person
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X
_ 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 | 2/10/2021 | | S | | 7789 | D | $124.90 (2) | 9573753 | D (1) | |
Common Stock | 2/10/2021 | | S | | 0 | D | $0 | 9573753 | I | Footnote (1) |
Common Stock | 2/11/2021 | | S | | 7412 | D | $124.51 (3) | 9566341 | D (1) | |
Common Stock | 2/11/2021 | | S | | 0 | D | $0 | 9566341 | I | Footnote (1) |
Common Stock | 2/12/2021 | | S | | 22250 | D | $124.22 (4) | 9544091 | D (1) | |
Common Stock | 2/12/2021 | | S | | 0 | D | $0 | 9544091 | I | Footnote (1) |
Common Stock | | | | | | | | 25900 | D (5) | |
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 |
Explanation of Responses: |
(1) | The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(2) | This constitutes the weighted average sale price. The prices range from $124.06 to $126.49. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(3) | This constitutes the weighted average sale price. The prices range from $124.08 to $125.11. The Reporting Persons will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(4) | This constitutes the weighted average sale price. The prices range from $124.06 to $124.89. The Reporting Persons will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(5) | These securities are directly owned by Neal C. Bradsher. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BROADWOOD PARTNERS, L.P. C/O BROADWOOD CAPITAL INC. 142 WEST 57TH STREET, 11TH FLOOR NEW YORK, NY 10019 |
| X |
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BROADWOOD CAPITAL INC 142 WEST 57TH STREET, 11TH FLOOR NEW YORK, NY 10019 |
| X |
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BRADSHER NEAL C C/O BROADWOOD CAPITAL INC. 142 WEST 57TH STREET, 11TH FLOOR NEW YORK, NY 10019 |
| X |
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Signatures
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Broadwood Partners, L.P., By: Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President | | 2/12/2021 |
**Signature of Reporting Person | Date |
Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President | | 2/12/2021 |
**Signature of Reporting Person | Date |
Neal C. Bradsher, /s/ Neal C. Bradsher | | 2/12/2021 |
**Signature of Reporting Person | Date |
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