0001209191-23-000847.txt : 20230104 0001209191-23-000847.hdr.sgml : 20230104 20230104160633 ACCESSION NUMBER: 0001209191-23-000847 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230103 FILED AS OF DATE: 20230104 DATE AS OF CHANGE: 20230104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRINZI THOMAS G CENTRAL INDEX KEY: 0001663458 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-11634 FILM NUMBER: 23506336 MAIL ADDRESS: STREET 1: 100 ABBOTT PARK ROAD STREET 2: AP6A-2, D-032L CITY: ABBOTT PARK STATE: IL ZIP: 60064-6092 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STAAR SURGICAL CO CENTRAL INDEX KEY: 0000718937 STANDARD INDUSTRIAL CLASSIFICATION: OPHTHALMIC GOODS [3851] IRS NUMBER: 953797439 STATE OF INCORPORATION: DE FISCAL YEAR END: 1230 BUSINESS ADDRESS: STREET 1: 1911 WALKER AVE CITY: MONROVIA STATE: CA ZIP: 91016 BUSINESS PHONE: 6263037902 MAIL ADDRESS: STREET 1: 1911 WALKER AVE CITY: MONROVIA STATE: CA ZIP: 91016 FORMER COMPANY: FORMER CONFORMED NAME: STAAR SURGICAL COMPANY DATE OF NAME CHANGE: 19920703 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2023-01-03 0 0000718937 STAAR SURGICAL CO STAA 0001663458 FRINZI THOMAS G 25651 ATLANTIC OCEAN DRIVE LAKE FOREST CA 92630 1 1 0 0 President & CEO Common Shares 2023-01-03 4 M 0 87805 0.00 A 92534 D Common Stock Options 51.25 2023-01-03 4 M 0 160638 0.00 A 2024-01-03 2033-01-02 Common Stock 160638 160638 D Award of 87,805 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 29,268 of the RSUs on 1/3/24, 29,268 of the RSUs on 1/3/25, and 29,269 of the RSUs on 1/3/26. The options granted become exercisable as follows: 1/3 on 1/3/2024 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 1/3/2026. /s/ Samuel J. Gesten as attorney-in-fact for Thomas G. Frinzi 2023-01-04