0001209191-21-019795.txt : 20210311 0001209191-21-019795.hdr.sgml : 20210311 20210311164736 ACCESSION NUMBER: 0001209191-21-019795 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210309 FILED AS OF DATE: 20210311 DATE AS OF CHANGE: 20210311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Barnes Scott D CENTRAL INDEX KEY: 0001781830 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-11634 FILM NUMBER: 21733917 MAIL ADDRESS: STREET 1: 25651 ATLANTIC OCEAN DRIVE CITY: LAKE FORST STATE: CA ZIP: 92630 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 2021-03-09 0 0000718937 STAAR SURGICAL CO STAA 0001781830 Barnes Scott D 25651 ATLANTIC OCEAN DRIVE LAKE FOREST CA 92630 0 1 0 0 Chief Medical Officer Common Stock 2021-03-09 4 M 0 4800 16.15 A 25190 D Common Stock 2021-03-09 4 M 0 188 29.80 A 25378 D Common Stock 2021-03-09 4 M 0 2345 35.98 A 27723 D Common Stock 2021-03-09 4 D 0 3300 88.48 D 24423 D Common Stock 2021-03-09 4 D 0 4033 89.25 D 20390 D Common Stock Options 16.15 2021-03-09 4 M 0 4800 0.00 D 2019-03-15 2028-03-14 Common Stock 4800 7700 D Common Stock Options 29.80 2021-03-09 4 M 0 188 0.00 D 2019-06-14 2028-06-13 Common Stock 188 1124 D Common Stock Options 35.98 2021-03-09 4 M 0 2345 0.00 D 2020-03-14 2029-03-13 Common Stock 2345 11386 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.04 to $89.00, inclusive. The options granted become exercisable as follows: 1/3 on 3/15/2019 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 3/15/2021. 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. 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 3/14/2022. /s/ Samuel Gesten as attorney-in-fact for Scott Barnes 2021-03-11