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STAAR SURGICAL CO — Director's Dealing 2017
Mar 21, 2017
31996_dirs_2017-03-21_40f62138-62ee-4d37-8b74-0417d60e19bf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: STAAR SURGICAL CO (STAA)
CIK: 0000718937
Period of Report: 2017-03-18
Reporting Person: Gesten Samuel J (VP, General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-18 | Common Stock | F | 1457 | $9.90 | Disposed | 29899 | Direct |
| 2017-03-21 | Common Stock | A | 11250 | $0.00 | Acquired | 41149 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-03-21 | Common Stock Options | $9.30 | A | 22500 | Acquired | 2027-03-20 | Common Stock (22500) | Direct |
Footnotes
F1: Award of 10,000 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 options granted become exercisable as follows: 1/3 on 3/21/2018 and the remaining 2/3 of such options shall become exercisable over the following 24 months in equal amounts on a monthly basis. In the event the options do not evenly divide into 24 months, the remaining balance of options granted shall become exercisable on 3/21/2020.