STAAR SURGICAL CO — Director's Dealing 2020

Sep 17, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: STAAR SURGICAL CO (STAA)
CIK: 0000718937
Period of Report: 2020-09-14

Reporting Person: Holliday Keith (Chief Technology Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-14	Common Stock	M	1286	$7.52	Acquired	29733	Direct
2020-09-14	Common Stock	M	21294	$9.30	Acquired	51027	Direct
2020-09-14	Common Stock	M	3994	$16.15	Acquired	55021	Direct
2020-09-14	Common Stock	S	26574	$53.26	Disposed	28447	Direct
2020-09-14	Common Stock	S	9115	$53.49	Disposed	19332	Direct
2020-09-15	Common Stock	M	13217	$16.15	Acquired	32549	Direct
2020-09-15	Common Stock	M	10112	$29.80	Acquired	42661	Direct
2020-09-15	Common Stock	M	12997	$35.98	Acquired	55658	Direct
2020-09-15	Common Stock	S	36326	$53.33	Disposed	19332	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-14	Common Stock Options	$7.52	M	1286	Disposed	2026-03-17	Common Stock (1286)	Direct
2020-09-14	Common Stock Options	$9.30	M	21294	Disposed	2027-03-20	Common Stock (21294)	Direct
2020-09-14	Common Stock Options	$16.15	M	3994	Disposed	2028-03-14	Common Stock (3994)	Direct
2020-09-15	Common Stock Options	$16.15	M	13217	Disposed	2028-03-14	Common Stock (13217)	Direct
2020-09-15	Common Stock Options	$29.80	M	10112	Disposed	2028-06-13	Common Stock (10112)	Direct
2020-09-15	Common Stock Options	$35.98	M	12997	Disposed	2029-03-13	Common Stock (12997)	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 $53.07 to $53.97, inclusive.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.25 to $54.06, inclusive.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.02 to $53.71, inclusive.

F4: The options granted become exercisable as follows: 1/3 on 3/15/2019 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 3/15/2021.

F5: The options granted become exercisable as follows: 1/3 on 6/14/2019 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 6/14/2021.

F6: The options granted become exercisable as follows: 1/3 on 3/14/2020 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 3/14/2022.