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STAA STAAR Surgical Company

42.62
-0.52 (-1.21%)
16 May 2024 - Closed
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
  -0.52 -1.21% 42.62 42.33 42.96 43.56 42.37 43.07 296,906 23:04:05

Statement of Changes in Beneficial Ownership (4)

09/02/2021 11:28pm

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 *

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)
(Last)          (First)          (Middle)

C/O BROADWOOD CAPITAL INC., 142 WEST 57TH STREET, 11TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

2/5/2021
(Street)

NEW YORK, NY 10019
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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
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 2/5/2021  S  47700 D$116.09 (2)9791461 D (1) 
Common Stock 2/5/2021  S  0 D$0 9791461 I Footnote (1)
Common Stock 2/8/2021  S  144838 D$122.28 (3)9646623 D (1) 
Common Stock 2/8/2021  S  0 D$0 9646623 I Footnote (1)
Common Stock 2/9/2021  S  65081 D$124.09 (4)9581542 D (1) 
Common Stock 2/9/2021  S  0 D$0 9581542 I Footnote (1)
Common Stock         25900 D (5) 

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

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 $115.96 to $117.35. 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 $118.15 to $124.13. 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 $122.08 to $125.26. 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
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
BROADWOOD PARTNERS, L.P.
C/O BROADWOOD CAPITAL INC.
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY 10019

X

BROADWOOD CAPITAL INC
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY 10019

X

BRADSHER NEAL C
C/O BROADWOOD CAPITAL INC.
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY 10019

X


Signatures
Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President2/9/2021
**Signature of Reporting PersonDate

Neal C. Bradsher, /s/ Neal C. Bradsher2/9/2021
**Signature of Reporting PersonDate

Broadwood Partners, L.P., By: Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President2/9/2021
**Signature of Reporting PersonDate

1 Year STAAR Surgical Chart

1 Year STAAR Surgical Chart

1 Month STAAR Surgical Chart

1 Month STAAR Surgical Chart