0001181431-14-012259.txt : 20140311 0001181431-14-012259.hdr.sgml : 20140311 20140311213002 ACCESSION NUMBER: 0001181431-14-012259 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140307 FILED AS OF DATE: 20140311 DATE AS OF CHANGE: 20140311 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: 1228 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 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: 14686016 MAIL ADDRESS: STREET 1: 1911 WALKER AVENUE CITY: MONROVIA STATE: CA ZIP: 91016 4 1 rrd405311.xml B CALDWELL ANNUAL GRANT X0306 4 2014-03-07 0 0000718937 STAAR SURGICAL CO STAA 0001332314 Caldwell Barry G 1911 WALKER AVE MONROVIA CA 91016 1 0 0 0 Common Stock 2014-03-07 4 A 0 17000 0 A 283839 D Common Stock 2014-03-07 4 A 0 30000 0 A 313839 D Common Stock Options 15.54 2014-03-07 4 A 0 36000 0 A 2015-03-07 2024-03-06 Common Stock 36000 40000 D Consists of 17,000 Restricted Shares of Common Stock (PARS), subject to forfeiture rights, which lapse as to 1/2 of the shares (8500 shares) on 3/7/16,and lapse as to the other 1/2 of the shares (8500 shares) on 3/7/17. Includes 30,000 PARS. The options first become exercisable as follows: 12,000 shares on 3/7/15, 12,000 shares on 3/7/16 and 12,000 shares on 3/7/17. Consists of 30,000 performance-contingent restricted shares pursuant to the 2013 RSU Plan which vested on 3/7/14. /s/Samuel Gesten as Attorney-in-Fact for Barry Caldwell 2014-03-11