STAAR SURGICAL CO — Director's Dealing 2019

Nov 22, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: STAAR SURGICAL CO (STAA)
CIK: 0000718937
Period of Report: 2019-11-20

Reporting Person: Hansen Graydon C. (Sr. VP, Global Operations)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-20	Common Stock	S	17083	$35.02	Disposed	8334	Direct
2019-11-22	Common Stock	M	9076	$9.30	Acquired	17410	Direct
2019-11-22	Common Stock	M	4862	$7.52	Acquired	22272	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-22	Common Stock Options	$9.30	M	9076	Acquired	2027-03-20	Common Stock (9076)	Direct
2019-11-22	Common Stock Options	$7.52	M	4862	Acquired	2026-03-17	Common Stock (4862)	Direct

Footnotes

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.05, inclusive.

F2: Reflects Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 6,250 RSUs on March 21, 2020, and lapse as to 2,084 RSUs on November 13, 2020.

F3: The options granted became exercisable as follows: 1/3 on 3/21/2018 and the remaining 2/3 of such options became 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.

F4: The options granted became exercisable as follows: 1/3 on 3/18/2017 and 2/3 of such options became exercisable over the following 24 months in equal amounts on a monthly basis.