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Nasdaq · USD

STAA

STAAR SURGICAL CO

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4851
SEC CIK
0000718937
Parsed reports
347

Last 12 months

Inside the activity.

22 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202560
Dec 202500
Jan 2026100
Feb 202600
Mar 202660
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 15, 2020 Filed May 15, 2020 22:10 UTC
Holliday KeithChief Technology Officer
Exercise / conversionCommon Stock Options · Derivative 25,000 $0.00 Strike: $7.20 $0.00
Disclosure

SEC source: 0001209191-20-029842 · doc4.xml · derivative · entry 3

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2025-08-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 15, 2020 Filed May 15, 2020 22:10 UTC
Holliday KeithChief Technology Officer
SaleCommon Stock 25,000 $37.69 $942,250.00
Disclosure

SEC source: 0001209191-20-029842 · doc4.xml · nonDerivative · entry 2

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,447

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.52 to $37.88, inclusive.

Read SEC document
May 15, 2020 Filed May 15, 2020 22:10 UTC
Holliday KeithChief Technology Officer
Exercise / conversionCommon Stock 25,000 $7.20 $180,000.00
Disclosure

SEC source: 0001209191-20-029842 · doc4.xml · nonDerivative · entry 1

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,447

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 13, 2020 Filed May 13, 2020 22:49 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock Options · Derivative 6,667 $0.00 Strike: $5.34 $0.00
Disclosure

SEC source: 0001209191-20-028979 · doc4.xml · derivative · entry 7

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,333

Underlying: Common Stock · 6,667 shares

Expires 2023-03-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 13, 2020 Filed May 13, 2020 22:49 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock 6,667 $5.34 $35,601.78
Disclosure

SEC source: 0001209191-20-028979 · doc4.xml · nonDerivative · entry 4

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,133

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:50 UTC
Hayashida Jon K.VP, Global Clinical, Medical
GrantCommon Stock Options · Derivative 6,091 $0.00 Strike: $8.64 $0.00
Disclosure

SEC source: 0001209191-20-028980 · doc4.xml · derivative · entry 7

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,574

Underlying: Common Stock · 6,091 shares

Expires 2025-07-26

Read SEC document
May 11, 2020 Filed May 13, 2020 22:50 UTC
Hayashida Jon K.VP, Global Clinical, Medical
GrantCommon Stock Options · Derivative 19,178 $0.00 Strike: $7.52 $0.00
Disclosure

SEC source: 0001209191-20-028980 · doc4.xml · derivative · entry 6

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,822

Underlying: Common Stock · 19,178 shares

Expires 2026-03-17

Read SEC document
May 11, 2020 Filed May 13, 2020 22:50 UTC
Hayashida Jon K.VP, Global Clinical, Medical
GrantCommon Stock Options · Derivative 21,294 $0.00 Strike: $9.30 $0.00
Disclosure

SEC source: 0001209191-20-028980 · doc4.xml · derivative · entry 5

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,206

Underlying: Common Stock · 21,294 shares

Expires 2027-03-20

Read SEC document
May 11, 2020 Filed May 13, 2020 22:50 UTC
Hayashida Jon K.VP, Global Clinical, Medical
SaleCommon Stock 46,563 $39.11 $1,821,078.93
Disclosure

SEC source: 0001209191-20-028980 · doc4.xml · nonDerivative · entry 4

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,794

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.89 to $39.10, inclusive.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:50 UTC
Hayashida Jon K.VP, Global Clinical, Medical
Exercise / conversionCommon Stock 6,091 $8.64 $52,626.24
Disclosure

SEC source: 0001209191-20-028980 · doc4.xml · nonDerivative · entry 3

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,357

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:50 UTC
Hayashida Jon K.VP, Global Clinical, Medical
Exercise / conversionCommon Stock 19,178 $7.52 $144,218.56
Disclosure

SEC source: 0001209191-20-028980 · doc4.xml · nonDerivative · entry 2

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,266

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:50 UTC
Hayashida Jon K.VP, Global Clinical, Medical
Exercise / conversionCommon Stock 21,294 $9.30 $198,034.20
Disclosure

SEC source: 0001209191-20-028980 · doc4.xml · nonDerivative · entry 1

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:49 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock Options · Derivative 10,856 $0.00 Strike: $15.54 $0.00
Disclosure

SEC source: 0001209191-20-028979 · doc4.xml · derivative · entry 6

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,144

Underlying: Common Stock · 10,856 shares

Expires 2024-03-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:49 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock Options · Derivative 8,000 $0.00 Strike: $7.35 $0.00
Disclosure

SEC source: 0001209191-20-028979 · doc4.xml · derivative · entry 5

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 8,000 shares

Expires 2025-04-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:49 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
SaleCommon Stock 18,856 $39.06 $736,515.36
Disclosure

SEC source: 0001209191-20-028979 · doc4.xml · nonDerivative · entry 3

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,466

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.10, inclusive.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:49 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock 10,856 $15.54 $168,702.24
Disclosure

SEC source: 0001209191-20-028979 · doc4.xml · nonDerivative · entry 2

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,322

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:49 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock 8,000 $7.35 $58,800.00
Disclosure

SEC source: 0001209191-20-028979 · doc4.xml · nonDerivative · entry 1

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,466

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
Exercise / conversionCommon Stock Options · Derivative 8,680 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · derivative · entry 10

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,820

Underlying: Common Stock · 8,680 shares

Expires 2028-03-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
Exercise / conversionCommon Stock Options · Derivative 4,862 $0.00 Strike: $15.25 $0.00
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · derivative · entry 9

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,431

Underlying: Common Stock · 4,862 shares

Expires 2027-11-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
Exercise / conversionCommon Stock Options · Derivative 6,741 $0.00 Strike: $9.30 $0.00
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · derivative · entry 8

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,741 shares

Expires 2027-03-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
SaleCommon Stock 8,419 $39.01 $328,425.19
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · nonDerivative · entry 7

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,553

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.03, inclusive.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
Exercise / conversionCommon Stock 8,680 $16.15 $140,182.00
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · nonDerivative · entry 6

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,972

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
SaleCommon Stock 3,473 $39.02 $135,516.46
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · nonDerivative · entry 5

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,292

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.03, inclusive.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
Exercise / conversionCommon Stock 4,862 $15.25 $74,145.50
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · nonDerivative · entry 4

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,765

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
SaleCommon Stock 2,860 $39.04 $111,654.40
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · nonDerivative · entry 3

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,903

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.01 to $39.06, inclusive.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
Exercise / conversionCommon Stock 6,741 $9.30 $62,691.30
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · nonDerivative · entry 2

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,763

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:48 UTC
Hansen Graydon C.Sr. VP, Global Operations
SaleCommon Stock 3,437 $39.02 $134,111.74
Disclosure

SEC source: 0001209191-20-028977 · doc4.xml · nonDerivative · entry 1

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,022

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.03, inclusive.

Read SEC document
March 23, 2020 Filed Mar 24, 2020 20:18 UTC
Hayashida Jon K.VP, Global Clinical, Medical
SaleCommon Stock 2,813 $26.83 $75,472.79
Disclosure

SEC source: 0001209191-20-020928 · doc4.xml · nonDerivative · entry 2

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,794

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.07 to $27.49, inclusive.

Read SEC document
March 23, 2020 Filed Mar 24, 2020 20:16 UTC
Hansen Graydon C.Sr. VP, Global Operations
SaleCommon Stock 2,813 $27.42 $77,132.46
Disclosure

SEC source: 0001209191-20-020924 · doc4.xml · nonDerivative · entry 1

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,459

Read SEC document
March 23, 2020 Filed Mar 24, 2020 20:14 UTC
Gesten Samuel JChief Legal Officer
SaleCommon Stock 2,742 $27.42 $75,185.64
Disclosure

SEC source: 0001209191-20-020922 · doc4.xml · nonDerivative · entry 2

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,185

Read SEC document
March 23, 2020 Filed Mar 24, 2020 20:13 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
SaleCommon Stock 2,250 $26.77 $60,232.50
Disclosure

SEC source: 0001209191-20-020917 · doc4.xml · nonDerivative · entry 2

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,466

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $27.49, inclusive.

Read SEC document
March 23, 2020 Filed Mar 24, 2020 20:09 UTC
ANDREWS DEBORAH JChief Financial Officer
SaleCommon Stock 834 $27.42 $22,868.28
Disclosure

SEC source: 0001209191-20-020910 · doc4.xml · nonDerivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,267

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:12 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
GrantCommon Stock Options · Derivative 31,979 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-20-020915 · doc4.xml · derivative · entry 1

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,979

Underlying: Common Stock · 31,979 shares

Expires 2030-03-19

F1 · security: 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.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:19 UTC
Holliday KeithChief Technology Officer
GrantCommon Stock Options · Derivative 16,372 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-20-020930 · doc4.xml · derivative · entry 2

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,372

Underlying: Common Stock · 16,372 shares

Expires 2030-03-19

F2 · security: 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.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:19 UTC
Holliday KeithChief Technology Officer
GrantCommon Stock 7,874 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020930 · doc4.xml · nonDerivative · entry 1

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,447

F1 · security: Award of 7874 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 1/3 of the RSUs on 3/20/21, 1/3 of the RSUs on 3/20/22, and the remaining 1/3 of the RSUs on 3/20/23.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:21 UTC
Mason Caren LDirector · President & CEO
GrantCommon Stock Options · Derivative 41,885 $0.00 Strike: $31.66 $0.00
Disclosure

SEC source: 0001209191-20-020932 · doc4.xml · derivative · entry 2

Mason Caren L · CIK 0001301366 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,885

Underlying: Common Stock · 41,885 shares

Expires 2030-03-19

F1 · security: 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.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:21 UTC
Mason Caren LDirector · President & CEO
GrantCommon Stock Options · Derivative 96,335 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-20-020932 · doc4.xml · derivative · entry 1

Mason Caren L · CIK 0001301366 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,335

Underlying: Common Stock · 96,335 shares

Expires 2030-03-19

F1 · security: 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.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:18 UTC
Hayashida Jon K.VP, Global Clinical, Medical
GrantCommon Stock Options · Derivative 15,297 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-20-020928 · doc4.xml · derivative · entry 3

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,297

Underlying: Common Stock · 15,297 shares

Expires 2030-03-19

F3 · security: 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.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:18 UTC
Hayashida Jon K.VP, Global Clinical, Medical
GrantCommon Stock 7,357 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020928 · doc4.xml · nonDerivative · entry 1

Hayashida Jon K. · CIK 0001781825 · VP, Global Clinical, Medical

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,607

F1 · security: Award of 7357 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 1/3 of the RSUs on 3/20/21, 1/3 of the RSUs on 3/20/22, and the remaining 1/3 of the RSUs on 3/20/23.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:16 UTC
Hansen Graydon C.Sr. VP, Global Operations
GrantCommon Stock Options · Derivative 27,762 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-20-020924 · doc4.xml · derivative · entry 2

Hansen Graydon C. · CIK 0001781933 · Sr. VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,762

Underlying: Common Stock · 27,762 shares

Expires 2030-03-19

F1 · security: 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.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:14 UTC
Gesten Samuel JChief Legal Officer
GrantCommon Stock Options · Derivative 16,102 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-20-020922 · doc4.xml · derivative · entry 3

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,102

Underlying: Common Stock · 16,102 shares

Expires 2030-03-19

F2 · security: 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.

Read SEC document
March 20, 2020 Filed Mar 24, 2020 20:14 UTC
Gesten Samuel JChief Legal Officer
GrantCommon Stock 7,745 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020922 · doc4.xml · nonDerivative · entry 1

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,873

F1 · price: Award of 7745 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 1/3 of the RSUs on 3/20/21, 1/3 of the RSUs on 3/20/22, and the remaining 1/3 of the RSUs on 3/20/23.

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March 20, 2020 Filed Mar 24, 2020 20:13 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
GrantCommon Stock Options · Derivative 14,374 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-20-020917 · doc4.xml · derivative · entry 3

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,374

Underlying: Common Stock · 14,374 shares

Expires 2030-03-19

F3 · security: 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.

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March 20, 2020 Filed Mar 24, 2020 20:13 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
GrantCommon Stock 6,913 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020917 · doc4.xml · nonDerivative · entry 1

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,716

F1 · security: Award of 6913 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 1/3 of the RSUs on 3/20/21, 1/3 of the RSUs on 3/20/22, and the remaining 1/3 of the RSUs on 3/20/23.

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March 20, 2020 Filed Mar 24, 2020 20:11 UTC
Barnes Scott DChief Medical Officer
GrantCommon Stock Options · Derivative 19,457 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-20-020913 · doc4.xml · derivative · entry 2

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,457

Underlying: Common Stock · 19,457 shares

Expires 2030-03-19

F2 · security: 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.

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March 20, 2020 Filed Mar 24, 2020 20:11 UTC
Barnes Scott DChief Medical Officer
GrantCommon Stock 9,358 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020913 · doc4.xml · nonDerivative · entry 1

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,390

F1 · security: Award of 9358 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 1/3 of the RSUs on 3/20/21, 1/3 of the RSUs on 3/20/22, and the remaining 1/3 of the RSUs on 3/20/23.

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March 18, 2020 Filed Mar 19, 2020 20:15 UTC
Moore John CDirector
Exercise / conversionCommon Stock Options · Derivative 10,000 $0.00 Strike: $5.81 $0.00
Disclosure

SEC source: 0001209191-20-020257 · doc4.xml · derivative · entry 3

Moore John C · CIK 0001426569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2021-05-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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March 18, 2020 Filed Mar 19, 2020 20:15 UTC
Moore John CDirector
Exercise / conversionCommon Stock 10,000 $5.81 $58,100.00
Disclosure

SEC source: 0001209191-20-020257 · doc4.xml · nonDerivative · entry 1

Moore John C · CIK 0001426569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,422

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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January 21, 2020 Filed Jan 23, 2020 21:06 UTC
ANDREWS DEBORAH JChief Financial Officer
Exercise / conversionCommon Stock Options · Derivative 3,370 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-20-004627 · doc4.xml · derivative · entry 19

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188

Underlying: Common Stock · 3,370 shares

Expires 2021-06-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_date: The options granted become exercisable as follows: 1/3 on 06/14/2019, 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 06/14/2021.

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January 21, 2020 Filed Jan 23, 2020 21:06 UTC
ANDREWS DEBORAH JChief Financial Officer
Exercise / conversionCommon Stock Options · Derivative 7,291 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-20-004627 · doc4.xml · derivative · entry 18

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 347

Underlying: Common Stock · 7,291 shares

Expires 2028-03-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: The options granted become exercisable as follows: 1/3 on 03/15/2019, 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 03/15/2021.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.