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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 03, 2019 Filed May 3, 2019 22:39 UTC PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-19-003132 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 10,840,630

F3 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 03, 2019 Filed May 3, 2019 22:39 UTC PurchaseCommon Stock 100,000 $22.23 $2,223,000.00
Disclosure

SEC source: 0000919574-19-003132 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,840,630

F1 · price: This constitutes the weighted average purchase price. The prices range from $21.80 to $22.91. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.

Read SEC document
April 04, 2019 Filed Apr 5, 2019 20:04 UTC
ANDREWS DEBORAH JChief Financial Officer
SaleCommon Stock 1,000 $34.35 $34,350.00
Disclosure

SEC source: 0001209191-19-023797 · doc4.xml · nonDerivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,268

Read SEC document
March 22, 2019 Filed Mar 22, 2019 20:11 UTC
Holliday KeithChief Technology Officer
SaleCommon Stock 3,125 $38.89 $121,531.25
Disclosure

SEC source: 0001209191-19-020998 · doc4.xml · nonDerivative · entry 2

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,114

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.52 to $39.57 inclusive.

Read SEC document
March 22, 2019 Filed Mar 22, 2019 20:11 UTC
ANDREWS DEBORAH JChief Financial Officer
SaleCommon Stock 833 $38.88 $32,387.04
Disclosure

SEC source: 0001209191-19-020997 · doc4.xml · nonDerivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,268

Read SEC document
March 22, 2019 Filed Mar 22, 2019 20:10 UTC
Gesten Samuel JChief Legal Officer
SaleCommon Stock 1,688 $38.87 $65,612.56
Disclosure

SEC source: 0001209191-19-020995 · doc4.xml · nonDerivative · entry 2

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,128

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.50 to $39.30 inclusive.

Read SEC document
March 19, 2019 Filed Mar 22, 2019 20:11 UTC
Holliday KeithChief Technology Officer
SaleCommon Stock 2,084 $36.22 $75,482.48
Disclosure

SEC source: 0001209191-19-020998 · doc4.xml · nonDerivative · entry 1

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,239

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.94 to $36.39 inclusive.

Read SEC document
March 19, 2019 Filed Mar 22, 2019 20:08 UTC
Mason Caren LDirector · President & CEO
SaleCommon Stock 7,500 $36.25 $271,875.00
Disclosure

SEC source: 0001209191-19-020993 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,013

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.86 to $36.44.

Read SEC document
March 19, 2019 Filed Mar 22, 2019 20:10 UTC
Gesten Samuel JChief Legal Officer
SaleCommon Stock 1,500 $36.20 $54,300.00
Disclosure

SEC source: 0001209191-19-020995 · doc4.xml · nonDerivative · entry 1

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,816

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.88 to $36.34 inclusive.

Read SEC document
March 14, 2019 Filed Mar 15, 2019 20:06 UTC
Mason Caren LDirector · President & CEO
GrantCommon Stock Options · Derivative 132,523 $0.00 Strike: $35.98 $0.00
Disclosure

SEC source: 0001209191-19-019679 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,523

Underlying: Common Stock · 132,523 shares

Expires 2029-03-13

F1 · security: The options granted become exercisable as follows: 1/3 on 3/14/2020 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 3/14/2022.

Read SEC document
March 14, 2019 Filed Mar 15, 2019 20:05 UTC
Holliday KeithChief Technology Officer
GrantCommon Stock Options · Derivative 25,995 $0.00 Strike: $35.98 $0.00
Disclosure

SEC source: 0001209191-19-019678 · doc4.xml · derivative · entry 1

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,995

Underlying: Common Stock · 25,995 shares

Expires 2029-03-13

F1 · security: The options granted become exercisable as follows: 1/3 on 3/14/2020 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 3/14/2022.

Read SEC document
March 14, 2019 Filed Mar 15, 2019 20:04 UTC
Gesten Samuel JChief Legal Officer
GrantCommon Stock Options · Derivative 25,568 $0.00 Strike: $35.98 $0.00
Disclosure

SEC source: 0001209191-19-019677 · doc4.xml · derivative · entry 1

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,568

Underlying: Common Stock · 25,568 shares

Expires 2029-03-13

F1 · security: The options granted become exercisable as follows: 1/3 on 3/14/2020 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 3/14/2022.

Read SEC document
March 14, 2019 Filed Mar 15, 2019 20:03 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
GrantCommon Stock Options · Derivative 21,128 $0.00 Strike: $35.98 $0.00
Disclosure

SEC source: 0001209191-19-019674 · 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: 21,128

Underlying: Common Stock · 21,128 shares

Expires 2029-03-13

F1 · security: The options granted become exercisable as follows: 1/3 on 3/14/2020 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 3/14/2022.

Read SEC document
March 14, 2019 Filed Mar 15, 2019 20:02 UTC
ANDREWS DEBORAH JChief Financial Officer
GrantCommon Stock Options · Derivative 16,883 $0.00 Strike: $35.98 $0.00
Disclosure

SEC source: 0001209191-19-019673 · doc4.xml · derivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,883

Underlying: Common Stock · 16,883 shares

Expires 2029-03-13

F1 · security: The options granted become exercisable as follows: 1/3 on 3/14/2020 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 3/14/2022.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:54 UTC OtherCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-18-006470 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 10,740,630

F1 · kind: The shares were transferred to a limited partner of Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P.

F1 · price: The shares were transferred to a limited partner of Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P.

F3 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 22:54 UTC OtherCommon Stock 114,549 $0.00 $0.00
Disclosure

SEC source: 0000919574-18-006470 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,740,630

F1 · kind: The shares were transferred to a limited partner of Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P.

F1 · price: The shares were transferred to a limited partner of Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P.

F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.

Read SEC document
August 20, 2018 Filed Aug 20, 2018 20:22 UTC SaleCommon Stock 5,000 $41.35 $206,750.00
Disclosure

SEC source: 0001209191-18-047612 · doc4.xml · nonDerivative · entry 1

Wall William P · CIK 0001393025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,235

Read SEC document
June 14, 2018 Filed Jun 15, 2018 01:59 UTC Amendment
Holliday KeithChief Technology Officer
GrantCommon Stock · Derivative 13,484 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037926 · doc4a.xml · derivative · entry 1

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,484

Underlying: Common Stock · 13,484 shares

Expires 2028-06-13

F1 · security: The options granted become exercisable as follows: 1/3 on 6/14/2019 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 6/14/2021.

Read SEC document
June 14, 2018 Filed Jun 14, 2018 21:30 UTC
Mason Caren LDirector · President & CEO
GrantCommon Stock Options · Derivative 40,452 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037809 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,452

Underlying: Common Stock · 40,452 shares

Expires 2028-06-13

Read SEC document
June 14, 2018 Filed Jun 15, 2018 01:58 UTC Amendment
Mason Caren LDirector · President & CEO
GrantCommon Stock · Derivative 40,452 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037925 · doc4a.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,452

Underlying: Common Stock · 40,452 shares

Expires 2028-06-13

F1 · security: The options granted become exercisable as follows: 1/3 on 6/14/2019 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 6/14/2021.

Read SEC document
June 14, 2018 Filed Jun 14, 2018 21:29 UTC
Holliday KeithChief Technology Officer
GrantCommon Stock Options · Derivative 13,484 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037807 · doc4.xml · derivative · entry 1

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,484

Underlying: Common Stock · 13,484 shares

Expires 2028-06-13

F1 · security: The options granted become exercisable as follows: 1/3 on 3/15/2019 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 3/15/2021.

Read SEC document
June 14, 2018 Filed Jun 14, 2018 21:28 UTC
Gesten Samuel JChief Legal Officer
GrantCommon Stock Options · Derivative 10,787 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037806 · doc4.xml · derivative · entry 1

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,787

Underlying: Common Stock · 10,787 shares

Expires 2028-06-13

Read SEC document
June 14, 2018 Filed Jun 14, 2018 21:28 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
GrantCommon Stock Options · Derivative 13,484 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037805 · 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: 13,484

Underlying: Common Stock · 13,484 shares

Expires 2028-06-13

F1 · security: The options granted become exercisable as follows: 1/3 on 3/15/2019 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 3/15/2021.

Read SEC document
June 14, 2018 Filed Jun 14, 2018 21:27 UTC
ANDREWS DEBORAH JChief Financial Officer
GrantCommon Stock Options · Derivative 6,742 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037804 · doc4.xml · derivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,742

Underlying: Common Stock · 6,742 shares

Expires 2028-06-13

Read SEC document
June 14, 2018 Filed Jun 15, 2018 10:11 UTC Amendment
ANDREWS DEBORAH JChief Financial Officer
GrantCommon Stock · Derivative 6,742 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037932 · doc4a.xml · derivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,742

Underlying: Common Stock · 6,742 shares

Expires 2028-06-13

F1 · security: The options granted become exercisable as follows: 1/3 on 6/14/2019 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 6/14/2021.

Read SEC document
June 14, 2018 Filed Jun 15, 2018 10:09 UTC Amendment
Gesten Samuel JChief Legal Officer
GrantCommon Stock · Derivative 10,787 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037930 · doc4a.xml · derivative · entry 1

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,787

Underlying: Common Stock · 10,787 shares

Expires 2028-06-13

F1 · security: The options granted become exercisable as follows: 1/3 on 6/14/2019 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 6/14/2021.

Read SEC document
June 14, 2018 Filed Jun 15, 2018 10:03 UTC Amendment
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
GrantCommon Stock · Derivative 13,484 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-037928 · doc4a.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,484

Underlying: Common Stock · 13,484 shares

Expires 2028-06-13

F1 · security: The options granted become exercisable as follows: 1/3 on 6/14/2019 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 6/14/2021.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:45 UTC GrantCommon Stock 3,691 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-038346 · doc4.xml · nonDerivative · entry 1

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,691

F1 · shares: The restrictions on the 3,691 restricted shares of common stock lapse on the earlier of June 14, 2019 or the Corporation's 2019 Annual Meeting, subject to Mr. Farrell's continued service through that date.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:44 UTC
Moore John CDirector
GrantCommon Stock 3,691 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-038345 · doc4.xml · nonDerivative · entry 1

Moore John C · CIK 0001426569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,535

F1 · shares: The restrictions on the 3,691 restricted shares of common stock lapse on the earlier of June 14, 2019 or the Corporation's 2019 Annual Meeting, subject to Mr. Moore's continued service through that date.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:43 UTC GrantCommon Stock 3,691 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-038343 · doc4.xml · nonDerivative · entry 1

Wall William P · CIK 0001393025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,235

F1 · shares: The restrictions on the 3,691 restricted shares of common stock lapse on the earlier of June 14, 2019 or the Corporation's 2019 Annual Meeting, subject to Mr. Wall's continued service through that date.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:42 UTC GrantCommon Stock Options · Derivative 7,155 $0.00 Strike: $29.80 $0.00
Disclosure

SEC source: 0001209191-18-038342 · doc4.xml · derivative · entry 1

SILVERMAN LOU · CIK 0001249935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,155

Underlying: Common Stock · 7,155 shares

Expires 2028-06-13

F1 · security: These stock options vest in full on the earlier of June 14, 2019 or the Corporation's 2019 Annual Meeting, subject to Mr. Silverman's continued service through the vesting date.

Read SEC document
May 07, 2018 Filed May 7, 2018 20:06 UTC
ANDREWS DEBORAH JChief Financial Officer
Exercise / conversionCommon Stock · Derivative 25,000 $0.00 Strike: $5.68 $0.00
Disclosure

SEC source: 0001209191-18-028286 · doc4.xml · derivative · entry 5

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2020-12-14

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.

F2 · derivative.exercise_date: These stock options became exercisable in three equal annual installments on December 15, 2011, December 15, 2012, and December 15, 2013.

Read SEC document
May 07, 2018 Filed May 7, 2018 20:06 UTC
ANDREWS DEBORAH JChief Financial Officer
Exercise / conversionCommon Stock 25,000 $5.68 $142,000.00
Disclosure

SEC source: 0001209191-18-028286 · doc4.xml · nonDerivative · entry 3

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,667

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 03, 2018 Filed May 7, 2018 20:06 UTC
ANDREWS DEBORAH JChief Financial Officer
Exercise / conversionCommon Stock · Derivative 13,331 $0.00 Strike: $2.91 $0.00
Disclosure

SEC source: 0001209191-18-028286 · doc4.xml · derivative · entry 4

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,331 shares

Expires 2018-05-14

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.

F1 · derivative.exercise_date: These stock options became exercisable in three equal annual installments on May 15, 2009, May 15, 2010, and May 15, 2011.

Read SEC document
May 03, 2018 Filed May 7, 2018 20:06 UTC
ANDREWS DEBORAH JChief Financial Officer
SaleCommon Stock 13,331 $17.60 $234,625.60
Disclosure

SEC source: 0001209191-18-028286 · doc4.xml · nonDerivative · entry 2

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,667

Read SEC document
May 03, 2018 Filed May 7, 2018 20:06 UTC
ANDREWS DEBORAH JChief Financial Officer
Exercise / conversionCommon Stock 13,331 $2.91 $38,793.21
Disclosure

SEC source: 0001209191-18-028286 · doc4.xml · nonDerivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,998

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
March 22, 2018 Filed Mar 22, 2018 16:49 UTC
Holliday KeithChief Technology Officer
SaleCommon Stock 2,188 $16.03 $35,064.89
Disclosure

SEC source: 0001209191-18-021212 · doc4.xml · nonDerivative · entry 1

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,781

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.02 to $16.05 inclusive.

Read SEC document
March 22, 2018 Filed Mar 22, 2018 16:47 UTC
Gesten Samuel JChief Legal Officer
SaleCommon Stock 2,833 $16.05 $45,469.65
Disclosure

SEC source: 0001209191-18-021211 · doc4.xml · nonDerivative · entry 1

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,316

Read SEC document
March 22, 2018 Filed Mar 22, 2018 16:46 UTC
ANDREWS DEBORAH JChief Financial Officer
SaleCommon Stock 333 $16.05 $5,344.65
Disclosure

SEC source: 0001209191-18-021210 · doc4.xml · nonDerivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,667

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March 20, 2018 Filed Mar 21, 2018 20:25 UTC
Holliday KeithChief Technology Officer
SaleCommon Stock 1,458 $16.05 $23,400.90
Disclosure

SEC source: 0001209191-18-021082 · doc4.xml · nonDerivative · entry 1

Holliday Keith · CIK 0001678691 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,969

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March 19, 2018 Filed Mar 21, 2018 20:25 UTC
Mason Caren LDirector · President & CEO
SaleCommon Stock 6,667 $16.09 $107,272.03
Disclosure

SEC source: 0001209191-18-021083 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,513

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 15.95 to $16.25.

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March 15, 2018 Filed Mar 19, 2018 21:24 UTC
Gesten Samuel JChief Legal Officer
GrantCommon Stock Options · Derivative 20,000 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-18-020656 · doc4.xml · derivative · entry 1

Gesten Samuel J · CIK 0001496615 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-03-14

F1 · security: The options granted become exercisable as follows: 1/3 on 3/15/2019 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 3/15/2021.

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March 15, 2018 Filed Mar 19, 2018 21:23 UTC
Holliday KeithV.P., Chief Technology Officer
GrantCommon Stock Options · Derivative 25,000 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-18-020653 · doc4.xml · derivative · entry 1

Holliday Keith · CIK 0001678691 · V.P., Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-03-14

F1 · security: The options granted become exercisable as follows: 1/3 on 3/15/2019 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 3/15/2021.

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March 15, 2018 Filed Mar 19, 2018 21:22 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
GrantCommon Stock Options · Derivative 25,000 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-18-020652 · 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: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-03-14

F1 · security: The options granted become exercisable as follows: 1/3 on 3/15/2019 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 3/15/2021.

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March 15, 2018 Filed Mar 19, 2018 21:21 UTC
Mason Caren LDirector · President & CEO
GrantCommon Stock Options · Derivative 75,000 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-18-020647 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2028-03-14

F1 · security: The options granted become exercisable as follows: 1/3 on 3/15/2019 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 3/15/2021.

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March 15, 2018 Filed Mar 19, 2018 21:21 UTC
ANDREWS DEBORAH JVice President · CFO
GrantCommon Stock Options · Derivative 12,500 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-18-020650 · doc4.xml · derivative · entry 1

ANDREWS DEBORAH J · CIK 0001325697 · Vice President · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-03-14

F1 · security: 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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March 15, 2018 Filed Mar 19, 2018 21:20 UTC GrantCommon Stock Options · Derivative 603 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-18-020646 · doc4.xml · derivative · entry 2

Wall William P · CIK 0001393025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 603

Underlying: Common Stock · 603 shares

Expires 2028-03-14

F2 · security: These 603 stock options vest in full on the earlier of June 14, 2018 or the Corporation's 2018 Annual Meeting, subject to Mr. Wall's continued service through the vesting date.

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March 15, 2018 Filed Mar 19, 2018 21:20 UTC GrantCommon Stock 310 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-020646 · doc4.xml · nonDerivative · entry 1

Wall William P · CIK 0001393025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,544

F1 · shares: The restrictions on the 310 restricted shares of common stock lapse on the earlier of June 14, 2018 or the Corporation's 2018 Annual Meeting, subject to Mr. Wall's continued service through that date.

F1 · balance_after: The restrictions on the 310 restricted shares of common stock lapse on the earlier of June 14, 2018 or the Corporation's 2018 Annual Meeting, subject to Mr. Wall's continued service through that date.

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March 15, 2018 Filed Mar 19, 2018 21:19 UTC
Moore John CDirector
GrantCommon Stock Options · Derivative 1,206 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-18-020644 · doc4.xml · derivative · entry 2

Moore John C · CIK 0001426569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,206

Underlying: Common Stock · 1,206 shares

Expires 2028-03-14

F1 · security: These stock options vest in full on the earlier of June 14, 2018 or the Corporation's 2018 Annual Meeting, subject to Mr. Moore's continued service through the vesting date.

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March 15, 2018 Filed Mar 19, 2018 21:12 UTC GrantCommon Stock Options · Derivative 1,206 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-18-020641 · doc4.xml · derivative · entry 1

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,206

Underlying: Common Stock · 1,206 shares

Expires 2028-03-14

F1 · security: These stock options vest in full on the earlier of June 14, 2018 or the Corporation's 2018 Annual Meeting, subject to Mr. Farrell's continued service through the vesting date.

F1 · derivative.exercise_date: These stock options vest in full on the earlier of June 14, 2018 or the Corporation's 2018 Annual Meeting, subject to Mr. Farrell's continued service through the vesting date.

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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.