Mason Caren L's Form 4 filing
Staar Surgical Co (STAA) · filed Nov 18, 2021
- Accession no.
- 0001209191-21-065651
- Filed
- Nov 18, 2021
- Trade date
- Nov 16-18, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $12.0M. 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 |
|---|---|
| Mason Caren LCIK 0001301366 | Director, Officer (President & CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2021 | Common Stock | MOption exerciseAcquired | +35,000 | $7.76 | +$271,600 | 98,376 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −35,000 | $114.20F1 | −$3,997,000 | 63,376 | Direct | |
| Nov 17, 2021 | Common Stock | MOption exerciseAcquired | +35,000 | $7.76 | +$271,600 | 98,376 | Direct | |
| Nov 17, 2021 | Common Stock | SSaleDisposed | −35,000 | $113.83F2 | −$3,984,050 | 63,376 | Direct | |
| Nov 18, 2021 | Common Stock | MOption exerciseAcquired | +35,000 | $7.76 | +$271,600 | 98,376 | Direct | |
| Nov 18, 2021 | Common Stock | SSaleDisposed | −35,000 | $113.83F3 | −$3,984,050 | 63,376 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2021 | Common Stock | MOption exerciseDisposed | −35,000 | $0.00 | $0 | 123,000 | Direct | |
| Nov 17, 2021 | Common Stock | MOption exerciseDisposed | −35,000 | $0.00 | $0 | 88,000 | Direct | |
| Nov 18, 2021 | Common Stock | MOption exerciseDisposed | −35,000 | $0.00 | $0 | 53,000 | 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 $110.32 to $115.62.
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 $111.72 to $115.93.
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 $110.06 to $114.06.
Referenced by the price of 1 transaction in Table I.
Remarks
This Form 4 reflects sales by Ms. Mason of Common Stock of the Company pursuant to instructions contained in a pre-established Rule 10b5-1 plan.