Statement of Changes in Beneficial Ownership (4)
February 12 2021 - 06:53PM
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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APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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 ] |
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
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(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
_ X _ Form filed by More than One Reporting
Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
2/10/2021 |
|
S |
|
7789 |
D |
$124.90 (2) |
9573753 |
D (1) |
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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) |
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Common Stock |
2/11/2021 |
|
S |
|
0 |
D |
$0 |
9566341 |
I |
Footnote (1) |
Common Stock |
2/12/2021 |
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S |
|
22250 |
D |
$124.22 (4) |
9544091 |
D (1) |
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Common Stock |
2/12/2021 |
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S |
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0 |
D |
$0 |
9544091 |
I |
Footnote (1) |
Common Stock |
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|
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|
|
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25900 |
D (5) |
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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
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Director |
10% Owner |
Officer |
Other |
BROADWOOD PARTNERS, L.P.
C/O BROADWOOD CAPITAL INC.
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY 10019 |
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X |
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BROADWOOD CAPITAL INC
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY 10019 |
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X |
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BRADSHER NEAL C
C/O BROADWOOD CAPITAL INC.
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY 10019 |
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X |
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Signatures
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Broadwood Partners, L.P., By: Broadwood Capital,
Inc., By: /s/ Neal C. Bradsher, President |
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2/12/2021 |
**Signature of
Reporting Person |
Date |
Broadwood Capital, Inc., By: /s/ Neal C.
Bradsher, President |
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2/12/2021 |
**Signature of
Reporting Person |
Date |
Neal C. Bradsher, /s/ Neal C.
Bradsher |
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2/12/2021 |
**Signature of
Reporting Person |
Date |