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STAA STAAR Surgical Company

45.06
0.37 (0.83%)
Last Updated: 16:04:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
STAAR Surgical Company NASDAQ:STAA NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.37 0.83% 45.06 45.03 45.10 45.78 44.38 45.46 77,941 16:04:00

Statement of Changes in Beneficial Ownership (4)

13/05/2020 11:50pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Francese James E
2. Issuer Name and Ticker or Trading Symbol

STAAR SURGICAL CO [ STAA ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Sr. VP, Comm. Ops., NA, APAC
(Last)          (First)          (Middle)

25651 ATLANTIC OCEAN DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

5/11/2020
(Street)

LAKE FOREST, CA 92630
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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 5/11/2020  M  8000 A$7.35 52466 D  
Common Stock 5/11/2020  M  10856 A$15.54 63322 D  
Common Stock 5/11/2020  S  18856 D$39.06 (1)44466 D  
Common Stock 5/13/2020  M  6667 A$5.34 51133 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Common Stock Options $7.35 5/11/2020  M     8000  4/7/2016 4/6/2025 Common Stock 8000 $0.00 17000 D  
Common Stock Options $15.54 5/11/2020  M     10856  3/7/2015 3/6/2024 Common Stock 10856 $0.00 4144 D  
Common Stock Options $5.34 5/13/2020  M     6667  3/4/2014 3/3/2023 Common Stock 6667 $0.00 13333 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 $39.00 to $39.10, inclusive.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Francese James E
25651 ATLANTIC OCEAN DRIVE
LAKE FOREST, CA 92630


Sr. VP, Comm. Ops., NA, APAC

Signatures
/s/ Samuel Gesten as attorney-in-fact for James Francese5/13/2020
**Signature of Reporting PersonDate

1 Year STAAR Surgical Chart

1 Year STAAR Surgical Chart

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