SEC Form 4 · accession 0001209191-16-154465
STAAR SURGICAL CO · STAA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hans-Martin Blickensdoerfer
Officer — Sr. VP, EMEA, LA and China
Period of report
Dec 8, 2016
Accepted (ET)
Dec 9, 2016 · 5:20 pm EST
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 Stock | Dec 8, 2016 | M | 20,680 | $5.39 | A | 137,380 | D | |
| Common StockF1 | Dec 8, 2016 | S | 20,680 | $11.1021 | D | 116,700 | D | |
| Common Stock | Dec 9, 2016 | M | 4,320 | $5.39 | A | 121,029 | D | |
| Common StockF2 | Dec 9, 2016 | S | 4,320 | $11.3164 | D | 116,700 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionF3 | $5.39 | Dec 8, 2016 | M | 20,680 | D | — | Apr 1, 2016 | Common Stock | 25,000 | 4,320 | D |
| Common Stock OptionF3 | $5.39 | Dec 9, 2016 | M | 4,320 | D | — | Apr 1, 2016 | Common Stock | 4,320 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.10 to $11.15, inclusive.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.20 to $11.35, inclusive.
- F3The option vested in three equal installments on April 2, 2008, April 2, 2009, and April 2, 2010.
Remarks
This Form 4 reflects the exercise of expiring stock options by Mr. Blickensdoerfer.