SEC Form 4 · accession 0001209191-18-028286
STAAR SURGICAL CO · STAA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah J Andrews
Officer — Chief Financial Officer
Period of report
May 3, 2018
Accepted (ET)
May 7, 2018 · 4:06 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 Stock | May 3, 2018 | M | 13,331 | $2.91 | A | 28,998 | D | |
| Common Stock | May 3, 2018 | S | 13,331 | $17.60 | D | 15,667 | D | |
| Common Stock | May 7, 2018 | M | 25,000 | $5.68 | A | 40,667 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1 | $2.91 | May 3, 2018 | M | 13,331 | D | May 15, 2011 | May 14, 2018 | Common Stock | 13,331 | 0 | D |
| Common StockF2 | $5.68 | May 7, 2018 | M | 25,000 | D | Dec 15, 2013 | Dec 14, 2020 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1These stock options became exercisable in three equal annual installments on May 15, 2009, May 15, 2010, and May 15, 2011.
- F2These stock options became exercisable in three equal annual installments on December 15, 2011, December 15, 2012, and December 15, 2013.
Remarks
This Form 4 reflects the exercise and sale, pursuant to instructions contained in a pre-established Rule 10b5-1 plan, of non-qualified stock options set to expire on May 14, 2018. This Form 4 also reflects the exercise and hold of 25,000 stock options.