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STAA STAAR Surgical Company

45.505
0.815 (1.82%)
Last Updated: 20:51:28
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
  0.815 1.82% 45.505 45.48 45.51 45.78 44.38 45.46 299,241 20:51:28

Statement of Changes in Beneficial Ownership (4)

03/06/2020 9:17pm

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 *

FRINZI THOMAS G
2. Issuer Name and Ticker or Trading Symbol

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

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

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

6/1/2020
(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

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 $39.73 6/1/2020  A   971    7/30/2020 (1)7/29/2030 Common Stock 971 $0.00 971 D  

Explanation of Responses:
(1) These 971 stock options vest in full on July 30, 2020, subject to Mr. Frinzi's continued service through the vesting date.

Remarks:
Effective June 1, 2020, the Board of Directors appointed Mr. Frinzi to serve as a member of the Board and granted him, as a non-employee director, 971 options to purchase common stock, which represents a pro-rated amount of the standard director equity compensation for a director serving during the 2019-2020 term.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
FRINZI THOMAS G
25651 ATLANTIC OCEAN DRIVE
LAKE FOREST, CA 92630
X



Signatures
/s/ Samuel Gesten as attorney-in-fact for Thomas Frinzi.6/3/2020
**Signature of Reporting PersonDate

1 Year STAAR Surgical Chart

1 Year STAAR Surgical Chart

1 Month STAAR Surgical Chart

1 Month STAAR Surgical Chart

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