0001209191-20-020917.txt : 20200324
0001209191-20-020917.hdr.sgml : 20200324
20200324161329
ACCESSION NUMBER: 0001209191-20-020917
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200320
FILED AS OF DATE: 20200324
DATE AS OF CHANGE: 20200324
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Francese James E
CENTRAL INDEX KEY: 0001571478
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-11634
FILM NUMBER: 20738523
MAIL ADDRESS:
STREET 1: 1911 WALKER AVE
CITY: MONROVIA
STATE: CA
ZIP: 91016
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: 0103
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-03-20
0
0000718937
STAAR SURGICAL CO
STAA
0001571478
Francese James E
25651 ATLANTIC OCEAN DRIVE
LAKE FOREST
CA
92630
0
1
0
0
Sr. VP, Comm. Ops., NA, APAC
Common Stock
2020-03-20
4
A
0
6913
0.00
A
46716
D
Common Stock
2020-03-23
4
S
0
2250
26.77
D
44466
D
Common Stock Options
27.53
2020-03-20
4
A
0
14374
0.00
A
2021-03-20
2030-03-19
Common Stock
14374
14374
D
Award of 6913 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 1/3 of the RSUs on 3/20/21, 1/3 of the RSUs on 3/20/22, and the remaining 1/3 of the RSUs on 3/20/23.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $27.49, inclusive.
The options granted become exercisable as follows: 1/3 on 3/20/2021 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 3/20/2023.
This Form 4 reflects a (i) 2020 equity award; and (ii) sale by Mr. Francese of currently held Common Stock of the Company (relating to recently vested RSUs) pursuant to 'sell to cover taxes' instructions contained in a pre-established Rule 10b5-1 plan.
/s/ Samuel Gesten as attorney-in-fact for James Francese
2020-03-24