0001181431-11-018863.txt : 20110317 0001181431-11-018863.hdr.sgml : 20110317 20110317212138 ACCESSION NUMBER: 0001181431-11-018863 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110315 FILED AS OF DATE: 20110317 DATE AS OF CHANGE: 20110317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caldwell Barry G CENTRAL INDEX KEY: 0001332314 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-11634 FILM NUMBER: 11696614 MAIL ADDRESS: STREET 1: 1212 TERRA BELLA AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STAAR SURGICAL CO CENTRAL INDEX KEY: 0000718937 STANDARD INDUSTRIAL CLASSIFICATION: OPHTHALMIC GOODS [3851] IRS NUMBER: 953797439 STATE OF INCORPORATION: DE FISCAL YEAR END: 0101 BUSINESS ADDRESS: STREET 1: 1911 WALKER AVE CITY: MONROVIA STATE: CA ZIP: 91016 BUSINESS PHONE: 6263037902 MAIL ADDRESS: STREET 1: 1911 WALKER AVE CITY: MONROVIA STATE: CA ZIP: 91016 FORMER COMPANY: FORMER CONFORMED NAME: STAAR SURGICAL COMPANY DATE OF NAME CHANGE: 19920703 4 1 rrd305917.xml GRANT 3-15-11 X0303 4 2011-03-15 0 0000718937 STAAR SURGICAL CO STAA 0001332314 Caldwell Barry G 1911 WALKER AVE MONROVIA CA 91016 1 1 0 0 President and CEO Common Stock 2011-03-15 4 A 0 15000 0 A 451839 D Common Stock Options 5.49 2011-03-15 4 A 0 40000 0 A 2021-03-14 Common Stock 40000 40000 D Performance Accelerated Restricted Shares of Common Stock (PARS), subject to forfeiture and vesting in a single installment on March 15, 2014, but subject to accelerated vesting as to 1/3 of the shares each year pursuant to achievement of certain performance criteria. Includes 15,000 PARS subject to forfeiture and vesting on March 15, 2014, 10,000 restricted shares subject to forfeiture and vesting on March 2, 2012 and options to purchase 220,000 shares of Common Stock exercisable on or before June 17, 2011. The options first become exercisable as follows: 13,333 shares on March 15, 2012, 13,333 shares on March 15, 2013 and 13,334 shares on March 15, 2014. /s/Charles Kaufman as attorney-in-fact for Barry G. Caldwell 2011-03-17