STAAR SURGICAL CO — Director's Dealing 2020

Jan 23, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: STAAR SURGICAL CO (STAA)
CIK: 0000718937
Period of Report: 2020-01-21

Reporting Person: ANDREWS DEBORAH J (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-01-21	Common Stock	M	20000	$11.00	Acquired	52101	Direct
2020-01-21	Common Stock	M	20000	$5.34	Acquired	72101	Direct
2020-01-21	Common Stock	M	10000	$15.54	Acquired	82101	Direct
2020-01-21	Common Stock	M	15000	$7.35	Acquired	97101	Direct
2020-01-21	Common Stock	M	9000	$7.36	Acquired	106101	Direct
2020-01-21	Common Stock	M	4583	$9.30	Acquired	110684	Direct
2020-01-21	Common Stock	M	17360	$15.25	Acquired	128044	Direct
2020-01-21	Common Stock	M	7291	$16.15	Acquired	135335	Direct
2020-01-21	Common Stock	M	3370	$29.80	Acquired	138705	Direct
2020-01-21	Common Stock	S	106604	$42.20	Disposed	32101	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-01-21	Common Stock Options	$11.00	M	20000	Disposed	2022-03-01	Common Stock (20000)	Direct
2020-01-21	Common Stock Options	$5.34	M	20000	Disposed	2023-03-03	Common Stock (20000)	Direct
2020-01-21	Common Stock Options	$15.54	M	10000	Disposed	2024-03-06	Common Stock (10000)	Direct
2020-01-21	Common Stock Options	$7.35	M	15000	Disposed	2025-04-06	Common Stock (15000)	Direct
2020-01-21	Common Stock Options	$7.36	M	9000	Disposed	2026-04-03	Common Stock (9000)	Direct
2020-01-21	Common Stock Options	$9.30	M	4583	Disposed	2027-03-20	Common Stock (4583)	Direct
2020-01-21	Common Stock Options	$15.25	M	17360	Disposed	2027-11-12	Common Stock (17360)	Direct
2020-01-21	Common Stock Options	$16.15	M	7291	Disposed	2028-03-14	Common Stock (7291)	Direct
2020-01-21	Common Stock Options	$29.80	M	3370	Disposed	2021-06-13	Common Stock (3370)	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 $41.86 to $42.53, inclusive.

F2: These stock options became exercisable in three equal annual installments on March 4, 2014, March 4, 2015, and March 4, 2016.

F3: These stock options became exercisable in three equal annual installments on March 2, 2013, March 2, 2014, and March 2, 2015.

F4: These stock options became exercisable in three equal annual installments on March 7, 2015, March 7, 2016, and March 7, 2017.

F5: These stock options became exercisable in three equal annual installments on April 7, 2016, April 7, 2017, and April 7, 2018.

F6: The options granted became exercisable as follows: 1/3 on 04/04/2017, 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 became exercisable on 04/04/2019.

F7: The options granted become exercisable as follows: 1/3 on 03/21/2018, 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 03/21/2020.

F8: The options granted become exercisable as follows: 1/3 on 11/13/2018, 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 11/13/2020.

F9: The options granted become exercisable as follows: 1/3 on 03/15/2019, 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 03/15/2021.

F10: The options granted become exercisable as follows: 1/3 on 06/14/2019, 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 06/14/2021.