SEC Form 4 · accession 0000919574-16-013401
STAAR SURGICAL CO · STAA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
BROADWOOD PARTNERS LP
10% Owner
BROADWOOD CAPITAL INC
10% Owner
Neal C Bradsher
10% Owner
Period of report
May 23, 2016
Accepted (ET)
May 25, 2016 · 5:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000718937
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | May 23, 2016 | P | 3,138 | $5.24 | A | 10,766,331 | D | |
| Common StockF4 | May 23, 2016 | P$0 | 0 | $0.00 | A | 10,766,331 | I | Footnote |
| Common StockF1,F3 | May 24, 2016 | P | 70,000 | $5.16 | A | 10,836,331 | D | |
| Common StockF4 | May 24, 2016 | P$0 | 0 | $0.00 | A | 10,836,331 | I | Footnote |
| Common StockF2,F3 | May 25, 2016 | P | 4,704 | $5.1203 | A | 10,841,035 | D | |
| Common StockF4 | May 25, 2016 | P$0 | 0 | $0.00 | A | 10,841,035 | I | Footnote |
| Common StockF5 | holding | — | — | — | 25,900 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This constitutes the weighted average purchase price. The prices range from $5.08 to $5.24. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F2This constitutes the weighted average purchase price. The prices range from $5.06 to $5.14. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F3These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
- F4The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F5These securities are owned by Neal C. Bradsher, who is a Reporting Person.