STAAR SURGICAL CO — Director's Dealing 2016

Jul 1, 2016

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: STAAR SURGICAL CO (STAA)
CIK: 0000718937
Period of Report: 2016-06-24

Reporting Person: Holliday Keith (V.P., Research & Development)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	35041	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Common Stock Options	$7.20	2025-08-18	Common Stock (25000)		Direct
Common Stock Options	$7.52	2026-03-17	Common Stock (25000)		Direct

Footnotes

F1: Includes award of 12,500 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 1/3 of the RSUs on 3/18/17, 1/3 of the RSUs on 3/18/18, and the remaining 1/3 of the RSUs on 3/18/19.

F2: The "new hire" options granted on August 19, 2015 vested and became exercisable effective February 11, 2016, when the level of ownership of the Company's outstanding common stock by an investor reached a level that constituted a "Change in Control" under the Company's 2003 Amended and Restated Omnibus Equity Incentive Plan.

F3: The options granted on March 18, 2016 become exercisable as follows: 1/3 on 3/18/2017 and 2/3 of such options shall become exercisable over the following 24 months in equal amounts on a monthly basis.