UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1 933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.07. Submission of Matters to a Vote of Security Holders
STAAR Surgical Company’s virtual annual meeting of shareholders (the “Annual Meeting”) was held on June 15, 2023. 48,333,250 shares of common stock were outstanding on the record date for the Annual Meeting (April 18, 2023) and entitled to vote at the Annual Meeting. The voting was as follows:
1. To elect six directors to serve for terms to expire in 2024 or until their successors have been elected and qualified.
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Number of Shares |
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For |
Withheld |
Broker Non-Votes |
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Stephen C. Farrell |
36,514,871 |
976,048 |
2,529,674 |
Thomas G. Frinzi |
36,532,371 |
958,548 |
2,529,674 |
Gilbert H. Kliman, MD |
26,759,870 |
10,731,049 |
2,529,674 |
Aimee S. Weisner |
35,367,873 |
2,123,046 |
2,529,674 |
Elizabeth Yeu, MD |
36,496,280 |
994,639 |
2,529,674 |
K. Peony Yu, MD |
36,680,322 |
810,597 |
2,529,674 |
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2. To approve the Amended and Restated STAAR Surgical Company Omnibus Equity Incentive Plan.
Number of Shares |
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For |
Against |
Abstain |
Broker Non-Votes |
36,203,114 |
1,235,651 |
52,154 |
2,529,674 |
3. To ratify the selection of BDO USA, LLP as the Company’s independent registered public accountants for the fiscal year ending December 29, 2023.
Number of Shares |
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For |
Against |
Abstain |
35,117,698 |
846,605 |
4,056,290 |
4. To hold an advisory vote to approve STAAR’s compensation of its named executive officers.
Number of Shares |
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For |
Against |
Abstain |
Broker Non-Votes |
35,577,495 |
1,838,486 |
74,938 |
2,529,674 |
5. To hold an advisory vote on the frequency of future advisory votes to approve named executive officer compensation.
Number of Shares |
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1 Year |
2 Years |
3 Years |
Abstain |
37,181,625 |
53,801 |
192,955 |
62,538 |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
STAAR Surgical Company, |
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June 16, 2023 |
By: |
/s/ Thomas G. Frinzi |
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Thomas G. Frinzi |
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President and Chief Executive Officer |