Blickensdoerfer Hans-Martin's Form 4 filing
Staar Surgical Co (STAA) · filed Sep 3, 2021
- Accession no.
- 0001209191-21-054675
- Filed
- Sep 3, 2021
- Trade date
- Sep 1-2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 4 derivative transactions. Open-market sales total $8.60M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Blickensdoerfer Hans-MartinCIK 0001488891 | Officer (Sr. VP, Comm. Ops, China) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | SSaleDisposed | −8,621 | $157.61F1 | −$1,358,755.81 | 99,760 | Direct | |
| Sep 1, 2021 | Common Stock | MOption exerciseAcquired | +17,573 | $16.15 | +$283,803.95 | 117,333 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −17,573 | $157.61F2 | −$2,769,680.53 | 99,760 | Direct | |
| Sep 2, 2021 | Common Stock | SSaleDisposed | −11,038 | $157.50F3 | −$1,738,485 | 88,722 | Direct | |
| Sep 2, 2021 | Common Stock | MOption exerciseAcquired | +871 | $16.15 | +$14,066.65 | 89,593 | Direct | |
| Sep 2, 2021 | Common Stock | MOption exerciseAcquired | +13,484 | $29.80 | +$401,823.2 | 103,077 | Direct | |
| Sep 2, 2021 | Common Stock | MOption exerciseAcquired | +2,988 | $35.98 | +$107,508.24 | 106,065 | Direct | |
| Sep 2, 2021 | Common Stock | SSaleDisposed | −17,343 | $157.50F4 | −$2,731,522.5 | 88,722 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | MOption exerciseDisposed | −17,573 | $0.00 | $0 | 871 | Direct | |
| Sep 2, 2021 | Common Stock | MOption exerciseDisposed | −871 | $0.00 | $0 | 0 | Direct | |
| Sep 2, 2021 | Common Stock | MOption exerciseDisposed | −13,484 | $0.00 | $0 | 0 | Direct | |
| Sep 2, 2021 | Common Stock | MOption exerciseDisposed | −2,988 | $0.00 | $0 | 18,140 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $157.50 to $157.99, inclusive.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $157.50 to $157.99, inclusive.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $157.50 to $157.56, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $157.50 to $157.72, inclusive.
Referenced by the price of 1 transaction in Table I.