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STAAR SURGICAL CO — Director's Dealing 2021
Mar 3, 2021
31996_dirs_2021-03-03_14cfcb6c-369d-43eb-b1d7-54a673b04aba.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: 2021-03-01
Reporting Person: Hansen Graydon C. (Sr. VP, Global Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-01 | Common Stock | M | 2431 | $15.25 | Acquired | 23984 | Direct |
| 2021-03-01 | Common Stock | M | 1218 | $16.15 | Acquired | 25202 | Direct |
| 2021-03-01 | Common Stock | M | 374 | $29.80 | Acquired | 25546 | Direct |
| 2021-03-01 | Common Stock | M | 229 | $35.98 | Acquired | 25805 | Direct |
| 2021-03-01 | Common Stock | M | 5618 | $29.80 | Acquired | 31423 | Direct |
| 2021-03-01 | Common Stock | M | 14491 | $35.98 | Acquired | 45914 | Direct |
| 2021-03-01 | Common Stock | M | 185 | $16.15 | Acquired | 46099 | Direct |
| 2021-03-01 | Common Stock | S | 20294 | $103.21 | Disposed | 25805 | Direct |
| 2021-03-01 | Common Stock | S | 11427 | $103.05 | Disposed | 14378 | Direct |
| 2021-03-01 | Common Stock | M | 2069 | $16.15 | Acquired | 16447 | Direct |
| 2021-03-01 | Common Stock | S | 2069 | $106.03 | Disposed | 14378 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-01 | Common Stock Options | $15.25 | M | 2431 | Disposed | 2027-11-12 | Common Stock (2431) | Direct |
| 2021-03-01 | Common Stock Options | $16.15 | M | 1218 | Disposed | 2028-03-14 | Common Stock (1218) | Direct |
| 2021-03-01 | Common Stock Options | $29.80 | M | 374 | Disposed | 2028-06-13 | Common Stock (374) | Direct |
| 2021-03-01 | Common Stock Options | $35.98 | M | 229 | Disposed | 2029-03-13 | Common Stock (229) | Direct |
| 2021-03-01 | Common Stock Options | $29.80 | M | 5618 | Disposed | 2028-06-13 | Common Stock (5618) | Direct |
| 2021-03-01 | Common Stock Options | $35.98 | M | 14491 | Disposed | 2029-03-13 | Common Stock (14491) | Direct |
| 2021-03-01 | Common Stock Options | $16.15 | M | 185 | Disposed | 2028-03-14 | Common Stock (185) | Direct |
| 2021-03-01 | Common Stock Options | $16.15 | M | 2069 | Disposed | 2028-03-14 | Common Stock (2069) | 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 $103.00 to $105.34, inclusive.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.00 to $103.36, inclusive.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.00 to $106.14, inclusive.
F4: 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.
F5: 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 3/14/2023.