Caldwell Barry G 4
4 · STAAR SURGICAL CO · Filed Mar 6, 2012
Insider Transaction Report
Form 4
Caldwell Barry G
DirectorPresident and CEO
Transactions
- Award
Common Stock
2012-03-02+15,000→ 236,839 total - Award
Common Stock Options
2012-03-02+40,000→ 40,000 totalExercise: $11.00Exp: 2022-03-02→ Common Stock (40,000 underlying)
Footnotes (4)
- [F1]Performance Accelerated Restricted Shares of Common Stock (PARS), subject to forfeiture and vesting in a single installment on March 2, 2015, but subject to accelerated vesting as to 1/3 of the shares each year pursuant to achievement of certain performance criteria.
- [F2]Includes 15,000 PARS subject to forfeiture and vesting on March 15, 2014 and 15,000 PARS subject to forfeiture and vesting on March 2, 2015.
- [F3]The options first become exercisable as follows: 13,333 shares on March 2, 2013, 13,333 shares on March 2, 2014 and 13,334 shares on March 2, 2015.
- [F4]Following the transactions reported on this Form 4, Mr. Caldwell's total beneficial ownership (as defined in Rule 13d-3 under the Exchange Act) is 486,838 shares of Common Stock, which includes 249,999 stock options that are vested or will vest within 60 days and 30,000 PARS. He also holds 100,000 stock options that are unvested.