Graydon Hansen - May 11, 2021 Form 4 Insider Report for STAAR SURGICAL CO (STAA)

Role
Sr. VP, Global Operations
Signature
/s/ Samuel Gesten as attorney-in-fact for Graydon Hansen
Stock symbol
STAA
Transactions as of
May 11, 2021
Transactions value $
-$1,509,710
Form type
4
Date filed
5/12/2021, 05:03 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction STAA Common Stock Options Exercise $37.8K +1.05K +7.3% $35.98 15.4K May 11, 2021 Direct
transaction STAA Common Stock Options Exercise $276K +10K +64.98% $27.53 25.5K May 11, 2021 Direct
transaction STAA Common Stock Sale -$1.24M -11.1K -43.51% $111.61 14.4K May 11, 2021 Direct F1
transaction STAA Common Stock Sale -$613K -5.53K -38.47% $110.74 8.85K May 12, 2021 Direct F2
transaction STAA Common Stock Options Exercise $11.2K +375 +4.24% $29.80 9.22K May 12, 2021 Direct
transaction STAA Common Stock Options Exercise $8.31K +231 +2.5% $35.98 9.45K May 12, 2021 Direct
transaction STAA Common Stock Options Exercise $5.62K +348 +3.68% $16.15 9.8K May 12, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction STAA Common Stock Options Options Exercise $0 -1.05K -12.62% $0.00 7.27K May 11, 2021 Common Stock 1.05K $35.98 Direct F3
transaction STAA Common Stock Options Options Exercise $0 -10K -36.11% $0.00 17.7K May 11, 2021 Common Stock 10K $27.53 Direct F4
transaction STAA Common Stock Options Options Exercise $0 -375 -50% $0.00 375 May 12, 2021 Common Stock 375 $29.80 Direct F5
transaction STAA Common Stock Options Options Exercise $0 -231 -3.18% $0.00 7.04K May 12, 2021 Common Stock 231 $35.98 Direct F3
transaction STAA Common Stock Options Options Exercise $0 -348 -100% $0.00* 0 May 12, 2021 Common Stock 348 $16.15 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.08 to $113.18, inclusive.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.00 to $112.29, inclusive.
F3 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.
F4 The options granted become exercisable as follows: 1/3 on 3/20/2021 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 3/20/2023.
F5 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.
F6 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.