Form 4 for STAA STAAR SURGICAL CO
Accepted 2021-08-13 00:00:00 ET · period of report 2021-08-12 · accession 0001209191-21-051394 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-13 | 2021-08-12 | STAA | Gesten Samuel J | CLO | M - OptEx | $28.55 | +29.7K | 53.7K | +123% | +$847.5K |
| D | 2021-08-13 | 2021-08-12 | STAA | Gesten Samuel J | CLO | S - Sale+OE | $134.71 | -29.7K | 42.6K | -41% | -$4.00M |
| DM | 2021-08-13 | 2021-08-12 | STAA | Gesten Samuel J | CLO | M - OptEx | $0.00 | -29.7K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-12 | M | A | 6,667 | $16.15 | 49,250 | D | — | — | |
| 2 | Common | Common Stock | 2021-08-12 | S | D | 29,682 | $134.71 | 42,583 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.58 to $137.35 inclusive. |
| 3 | Common | Common Stock | 2021-08-12 | M | A | 7,156 | $27.53 | 72,266 | D | — | — | |
| 4 | Common | Common Stock | 2021-08-12 | M | A | 11,364 | $35.98 | 65,110 | D | — | — | |
| 5 | Common | Common Stock | 2021-08-12 | M | A | 4,495 | $29.80 | 53,746 | D | — | — | |
| 6 | Derivative | Common Stock Options | 2021-08-12 | M | D | 11,364 | $0.00 | 5,682 | D | $35.98 · 2020-03-14 to 2029-03-13 | 11,364 Common Stock | (F2) 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. |
| 7 | Derivative | Common Stock Options | 2021-08-12 | M | D | 6,667 | $0.00 | 0 | D | $16.15 · 2019-03-15 to 2028-03-14 | 6,667 Common Stock | |
| 8 | Derivative | Common Stock Options | 2021-08-12 | M | D | 7,156 | $0.00 | 8,946 | D | $27.53 · 2021-03-20 to 2030-03-19 | 7,156 Common Stock | (F3) 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. |
| 9 | Derivative | Common Stock Options | 2021-08-12 | M | D | 4,495 | $0.00 | 0 | D | $29.80 · 2019-06-14 to 2028-06-13 | 4,495 Common Stock |