SEC Form 4 · accession 0001325697-26-000011
STAAR SURGICAL CO · STAA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah J Andrews
Officer — Chief Financial Officer & EVP
Period of report
Aug 14, 2026
Accepted (ET)
Aug 18, 2026 · 4:03 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000718937
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 14, 2026 | M | 5,233 | $0.00 | A | 41,452 | D | |
| Common StockF1 | Aug 14, 2026 | F | 2,662 | $26.18 | D | 38,910 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3,F4 | $0.00 | Aug 14, 2026 | A | 4,975 | A | — | — | Common Stock | 4,975 | 4,975 | D |
| Stock Option (right to buy)F5 | $26.18 | Aug 14, 2026 | A | 8,952 | A | — | Aug 13, 2036 | Common Stock | 8,952 | 8,952 | D |
| Performance Stock Option (right to buy)F6 | $26.18 | Aug 14, 2026 | A | 29,159 | A | — | Aug 13, 2036 | Common Stock | 29,159 | 29,159 | D |
| Performance Stock UnitsF7 | $0.00 | Aug 14, 2026 | M | 5,233 | A | — | Dec 31, 2027 | Common Stock | 5,233 | 41,452 | D |
Explanation of responses
- F1On May 15, 2026, the third tranche of 5,233 performance stock units ("PSUs") awarded to the Reporting Person under the 2025 PSU Program in connection with her new hire grant vested, of which 2,662 shares were withheld to satisfy taxes.
- F2Each restricted stock unit ("RSU") represents the right to receive one share of STAAR Surgical Company ("Company") common stock upon vesting.
- F3The Reporting Person was granted Company RSUs on August 14, 2026 (the "Grant Date"). These RSUs vest as to one-third on the first anniversary of the Grant Date, and the remaining two-thirds vesting in 24 substantially equal monthly installments thereafter.
- F4The Reporting Person was granted Issuer restricted stock units (RSUs) on August 14, 2026 (the "Grant Date"). These RSUs vest as to one-third on the first anniversary of the Grant Date, and the remaining two-thirds vesting in 24 substantially equal monthly installments thereafter.
- F5The Reporting Person was granted an option to purchase 8,952 shares of Company common stock. The shares underlying the option vest over three years from the Grant Date, with one-third vesting on the first anniversary of the Grant Date and the remaining two-thirds vesting in 24 substantially equal monthly installment thereafter.
- F6The Reporting Person was granted a performance option to purchase 29,159 shares of Company common stock. The shares underlying the option vest over a performance period ending on the earlier of a change in control and the 10-year anniversary of the Grant Date, subject to achievement of stock-price hurdles of $50.00, $75.00 and $100.00 per share, and time vest as to one-third on the anniversary of the Grant Date with the remaining two-thirds vesting in 24 substantially equal monthly installments thereafter.
- F7Represents the settlement of the third tranche of PSUs awarded to the Reporting Person in connection with her new hire grant under the 2025 PSU Program. The number of shares earned was determined upon certification by the Compensation Committee based on achievement of applicable performance goals. The original grant was exempt pursuant to Rule 16b-3(d) and was not previously reported.