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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
June 20, 2024 Filed Jun 24, 2024 21:06 UTC GrantCommon Stock Options · Derivative 4,010 $0.00 Strike: $40.11 $0.00
Disclosure

SEC source: 0000950170-24-076866 · ownership.xml · derivative · entry 2

Zhou Lilian Yansheng · CIK 0002003105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,010

Underlying: Common Stock · 4,010 shares

Expires 2034-06-19

F1 · security: Reflects shares of restricted stock and options to purchase common stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. These equity awards vest in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:06 UTC GrantCommon Stock 2,244 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-076866 · ownership.xml · nonDerivative · entry 1

Zhou Lilian Yansheng · CIK 0002003105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,571

F1 · security: Reflects shares of restricted stock and options to purchase common stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. These equity awards vest in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:05 UTC GrantCommon Stock 4,488 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-076863 · ownership.xml · nonDerivative · entry 1

WEISNER AIMEE S · CIK 0001227308 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,352

F1 · security: Reflects shares of restricted stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. This equity award vests in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:04 UTC GrantCommon Stock Options · Derivative 4,010 $0.00 Strike: $40.11 $0.00
Disclosure

SEC source: 0000950170-24-076861 · ownership.xml · derivative · entry 2

Butcher Arthur C · CIK 0001678249 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,010

Underlying: Common Stock · 4,010 shares

Expires 2034-06-19

F1 · security: Reflects shares of restricted stock and options to purchase common stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. These equity awards vest in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:04 UTC GrantCommon Stock 2,244 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-076861 · ownership.xml · nonDerivative · entry 1

Butcher Arthur C · CIK 0001678249 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,893

F1 · security: Reflects shares of restricted stock and options to purchase common stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. These equity awards vest in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:02 UTC
Jiang WeiDirector
GrantCommon Stock Options · Derivative 4,010 $0.00 Strike: $40.11 $0.00
Disclosure

SEC source: 0000950170-24-076857 · ownership.xml · derivative · entry 2

Jiang Wei · CIK 0001867980 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,010

Underlying: Common Stock · 4,010 shares

Expires 2034-06-19

F1 · security: Reflects shares of restricted stock and options to purchase common stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. These equity awards vest in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:02 UTC
Jiang WeiDirector
GrantCommon Stock 2,244 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-076857 · ownership.xml · nonDerivative · entry 1

Jiang Wei · CIK 0001867980 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,543

F1 · security: Reflects shares of restricted stock and options to purchase common stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. These equity awards vest in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:01 UTC GrantCommon Stock Options · Derivative 4,010 $0.00 Strike: $40.11 $0.00
Disclosure

SEC source: 0000950170-24-076855 · ownership.xml · derivative · entry 2

Lin Elizabeth Yeu · CIK 0001842190 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,010

Underlying: Common Stock · 4,010 shares

Expires 2034-06-19

F1 · security: Reflects shares of restricted stock and options to purchase common stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. These equity awards vest in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:01 UTC GrantCommon Stock 2,244 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-076855 · ownership.xml · nonDerivative · entry 1

Lin Elizabeth Yeu · CIK 0001842190 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,099

F1 · security: Reflects shares of restricted stock and options to purchase common stock granted on June 20, 2024, pursuant to the Corporation's annual non-employee director equity compensation program for the 2024-2025 term. These equity awards vest in full on the earlier of June 20, 2025, or the Corporation's 2025 Annual Meeting of Shareholders.

Read SEC document
May 09, 2024 Filed May 13, 2024 22:00 UTC PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-24-002864 · 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: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 10,768,431

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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 09, 2024 Filed May 13, 2024 22:00 UTC PurchaseCommon Stock 1 $42.56 $42.56
Disclosure

SEC source: 0000919574-24-002864 · 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: No plan indicated

Ownership: Direct

Disclosed balance after: 10,768,431

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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 08, 2024 Filed May 9, 2024 21:01 UTC
Michna MagdaChief Clinical, Regulatory,
Tax withholdingCommon Stock 1,670 $41.02 $68,503.40
Disclosure

SEC source: 0000950170-24-057241 · ownership.xml · nonDerivative · entry 1

Michna Magda · CIK 0001731487 · Chief Clinical, Regulatory,

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,377

F1 · security: On May 8, 2023, the reporting person was granted an award of 14,047 restricted stock units (RSUs), subject to vesting as to 1/3 of the shares of common stock subject to such RSUs annually over three years. On May 8, 2024, the RSUs vested as to 4,682 shares, and 1,670 shares were withheld to satisfy taxes.

F2 · balance_after: Includes shares of common stock owned outright and shares of common stock subject to unvested RSUs.

Read SEC document
May 08, 2024 Filed May 9, 2024 21:03 UTC
Foust WarrenChief Operating Officer
Tax withholdingCommon Stock 2,418 $41.02 $99,186.36
Disclosure

SEC source: 0000950170-24-057245 · ownership.xml · nonDerivative · entry 1

Foust Warren · CIK 0001970778 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,913

F1 · security: On May 8, 2023, the reporting person was granted an award of 20,331 restricted stock units (RSUs), subject to vesting as to 1/3 of the shares of common stock subject to such RSUs annually over three years. On May 8, 2024, the RSUs vested as to 6,777 shares, and 2,418 shares were withheld to satisfy taxes.

F2 · balance_after: Includes shares of common stock owned outright and shares of common stock subject to unvested RSUs.

Read SEC document
March 14, 2024 Filed Mar 14, 2024 21:23 UTC PurchaseCommon Stock 1,750 $38.11 $66,692.50
Disclosure

SEC source: 0000950170-24-031673 · ownership.xml · nonDerivative · entry 1

WEISNER AIMEE S · CIK 0001227308 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,864

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:20 UTC
FRINZI THOMAS GDirector · President & CEO
GrantCommon Stock Options · Derivative 66,627 $0.00 Strike: $37.64 $0.00
Disclosure

SEC source: 0000950170-24-031672 · ownership.xml · derivative · entry 2

FRINZI THOMAS G · CIK 0001663458 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,627

Underlying: Common Stock · 66,627 shares

Expires 2034-03-11

F3 · derivative.exercise_date: Stock options granted to the Reporting Person on March 12, 2024. Options will vest and become exercisable as to 1/3 (22,209 shares) on March 12, 2025, with the remaining 2/3 (44,418 shares) vesting and becoming exercisable monthly over the following 24 months in equal amounts on a monthly basis. In the event such amount does not evenly divide into 24 months, the remaining balance of options will vest and become exercisable on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:20 UTC
FRINZI THOMAS GDirector · President & CEO
GrantRestricted Stock Units · Derivative 74,389 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-24-031672 · ownership.xml · derivative · entry 1

FRINZI THOMAS G · CIK 0001663458 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,389

Underlying: Common Stock · 74,389 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of the Corporation's common stock upon vesting.

F2 · derivative.exercise_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (24,796 shares) on March 12, 2025, 1/3 (24,796 shares) on March 12, 2026, and 1/3 (24,797 shares) on March 12, 2027.

F2 · derivative.expiration_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (24,796 shares) on March 12, 2025, 1/3 (24,796 shares) on March 12, 2026, and 1/3 (24,797 shares) on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:19 UTC
Foust WarrenChief Operating Officer
GrantCommon Stock Options · Derivative 21,966 $0.00 Strike: $37.64 $0.00
Disclosure

SEC source: 0000950170-24-031670 · ownership.xml · derivative · entry 2

Foust Warren · CIK 0001970778 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,996

Underlying: Common Stock · 21,966 shares

Expires 2034-03-11

F3 · derivative.exercise_date: Stock options granted to the Reporting Person on March 12, 2024. Options will vest and become exercisable as to 1/3 (7,322 shares) on March 12, 2025, with the remaining 2/3 (14,644 shares) vesting and becoming exercisable monthly over the following 24 months in equal amounts on a monthly basis. In the event such amount does not evenly divide into 24 months, the remaining balance of options will vest and become exercisable on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:19 UTC
Foust WarrenChief Operating Officer
GrantRestricted Stock Units · Derivative 24,525 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-24-031670 · ownership.xml · derivative · entry 1

Foust Warren · CIK 0001970778 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,525

Underlying: Common Stock · 24,525 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of the Corporation's common stock upon vesting.

F2 · derivative.exercise_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (8,175 shares) on March 12, 2025, 1/3 (8,175 shares) on March 12, 2026, and 1/3 (8,175 shares) on March 12, 2027.

F2 · derivative.expiration_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (8,175 shares) on March 12, 2025, 1/3 (8,175 shares) on March 12, 2026, and 1/3 (8,175 shares) on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:17 UTC
SISITSKY NATHANIELGeneral Counsel
GrantCommon Stock Options · Derivative 15,657 $0.00 Strike: $37.64 $0.00
Disclosure

SEC source: 0000950170-24-031667 · ownership.xml · derivative · entry 2

SISITSKY NATHANIEL · CIK 0001225738 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,657

Underlying: Common Stock · 15,657 shares

Expires 2034-03-11

F3 · derivative.exercise_date: Stock options granted to the Reporting Person on March 12, 2024. Options will vest and become exercisable as to 1/3 (5,219 shares) on March 12, 2025, with the remaining 2/3 (10,438 shares) vesting and becoming exercisable monthly over the following 24 months in equal amounts on a monthly basis. In the event such amount does not evenly divide into 24 months, the remaining balance of options will vest and become exercisable on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:17 UTC
SISITSKY NATHANIELGeneral Counsel
GrantRestricted Stock Units · Derivative 17,481 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-24-031667 · ownership.xml · derivative · entry 1

SISITSKY NATHANIEL · CIK 0001225738 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,481

Underlying: Common Stock · 17,481 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of the Corporation's common stock upon vesting.

F2 · derivative.exercise_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (5,827 shares) on March 12, 2025, 1/3 (5,827 shares) on March 12, 2026, and 1/3 (5,827 shares) on March 12, 2027.

F2 · derivative.expiration_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (5,827 shares) on March 12, 2025, 1/3 (5,827 shares) on March 12, 2026, and 1/3 (5,827 shares) on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:16 UTC
Michna MagdaChief Clinical, Regulatory,
GrantCommon Stock Options · Derivative 16,599 $0.00 Strike: $37.64 $0.00
Disclosure

SEC source: 0000950170-24-031664 · ownership.xml · derivative · entry 2

Michna Magda · CIK 0001731487 · Chief Clinical, Regulatory,

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,599

Underlying: Common Stock · 16,599 shares

Expires 2034-03-11

F3 · derivative.exercise_date: Stock options granted to the Reporting Person on March 12, 2024. Options will vest and become exercisable as to 1/3 (5,533 shares) on March 12, 2025, with the remaining 2/3 (11,066 shares) vesting and becoming exercisable monthly over the following 24 months in equal amounts on a monthly basis. In the event such amount does not evenly divide into 24 months, the remaining balance of options will vest and become exercisable on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:16 UTC
Michna MagdaChief Clinical, Regulatory,
GrantRestricted Stock Units · Derivative 18,533 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-24-031664 · ownership.xml · derivative · entry 1

Michna Magda · CIK 0001731487 · Chief Clinical, Regulatory,

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,533

Underlying: Common Stock · 18,533 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of the Corporation's common stock upon vesting.

F2 · derivative.exercise_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (6,177 shares) on March 12, 2025, 1/3 (6,177 shares) on March 12, 2026, and 1/3 (6,179 shares) on March 12, 2027.

F2 · derivative.expiration_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (6,177 shares) on March 12, 2025, 1/3 (6,177 shares) on March 12, 2026, and 1/3 (6,179 shares) on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:14 UTC
Williams Patrick F.Chief Financial Officer
GrantCommon Stock Options · Derivative 21,908 $0.00 Strike: $37.64 $0.00
Disclosure

SEC source: 0000950170-24-031662 · ownership.xml · derivative · entry 2

Williams Patrick F. · CIK 0001562229 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,908

Underlying: Common Stock · 21,908 shares

Expires 2034-03-11

F3 · derivative.exercise_date: Stock options granted to the Reporting Person on March 12, 2024. Options will vest and become exercisable as to 1/3 (7,302 shares) on March 12, 2025, with the remaining 2/3 (14,606 shares) vesting and becoming exercisable monthly over the following 24 months in equal amounts on a monthly basis. In the event such amount does not evenly divide into 24 months, the remaining balance of options will vest and become exercisable on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:14 UTC
Williams Patrick F.Chief Financial Officer
GrantRestricted Stock Units · Derivative 24,460 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-24-031662 · ownership.xml · derivative · entry 1

Williams Patrick F. · CIK 0001562229 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,460

Underlying: Common Stock · 24,460 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of the Corporation's common stock upon vesting.

F2 · derivative.exercise_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (8,153 shares) on March 12, 2025, 1/3 (8,153 shares) on March 12, 2026, and 1/3 (8,154 shares) on March 12, 2027.

F2 · derivative.expiration_date: RSUs granted to the Reporting Person on March 12, 2024. RSUs will vest as to 1/3 (8,153 shares) on March 12, 2025, 1/3 (8,153 shares) on March 12, 2026, and 1/3 (8,154 shares) on March 12, 2027.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:13 UTC GrantCommon Stock Options · Derivative 1,163 $0.00 Strike: $37.64 $0.00
Disclosure

SEC source: 0000950170-24-031657 · ownership.xml · derivative · entry 2

Butcher Arthur C · CIK 0001678249 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,163

Underlying: Common stock · 1,163 shares

Expires 2034-03-11

F1 · shares: Effective March 12, 2024, the Board of Directors appointed Mr. Butcher to serve as a member of the Board and granted him, as a non-employee director, 649 restricted shares and options to purchase 1,163 shares of common stock, which represents a pro-rated amount of the standard director equity compensation for a director serving during the 2023-2024 term. These restricted shares and stock options vest in full on the earlier of June 20, 2024, or the Corporation's 2024 Annual Meeting of Shareholders.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:13 UTC GrantCommon Stock 649 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-031657 · ownership.xml · nonDerivative · entry 1

Butcher Arthur C · CIK 0001678249 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 649

F1 · shares: Effective March 12, 2024, the Board of Directors appointed Mr. Butcher to serve as a member of the Board and granted him, as a non-employee director, 649 restricted shares and options to purchase 1,163 shares of common stock, which represents a pro-rated amount of the standard director equity compensation for a director serving during the 2023-2024 term. These restricted shares and stock options vest in full on the earlier of June 20, 2024, or the Corporation's 2024 Annual Meeting of Shareholders.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:11 UTC
Jiang WeiDirector
GrantRestricted Stock Units · Derivative 1,061 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-24-031653 · ownership.xml · derivative · entry 2

Jiang Wei · CIK 0001867980 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,061

Underlying: Common Stock · 1,061 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of the Corporation's common stock upon vesting.

F3 · derivative.exercise_date: RSUs granted as compensation for services as a director to non-employee directors who elected to receive shares in lieu of director cash compensation fees. Mr. Jiang has elected to defer delivery of these shares.

F3 · derivative.expiration_date: RSUs granted as compensation for services as a director to non-employee directors who elected to receive shares in lieu of director cash compensation fees. Mr. Jiang has elected to defer delivery of these shares.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 21:11 UTC
Jiang WeiDirector
GrantCommon Stock 1,299 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-031653 · ownership.xml · nonDerivative · entry 1

Jiang Wei · CIK 0001867980 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,299

F1 · shares: Effective March 12, 2024, the Board of Directors appointed Mr. Jiang to serve as a member of the Board and granted him, as a non-employee director, 1,299 restricted shares, which represents a pro-rated amount of the standard director equity compensation for a director serving during the 2023-2024 term. These restricted shares vest in full on the earlier of June 20, 2024, or the Corporation's 2024 Annual Meeting of Shareholders.

Read SEC document
March 07, 2024 Filed Mar 11, 2024 10:06 UTC
Williams Patrick F.Chief Financial Officer
Exercise / conversionCommon Stock 2,614 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-028906 · ownership.xml · nonDerivative · entry 1

Williams Patrick F. · CIK 0001562229 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,475

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 · shares: Reflects shares issued upon vesting of performance stock units (PSUs) granted on March 7, 2022, based on the Corporation's performance relative to pre-established financial metrics. These PSUs vested as to 1/3 (2,614 shares) on March 7, 2023, 1/3 (2,614 shares) on March 7, 2024, and will vest as to the remaining 1/3 (2,614 shares) on March 7, 2025.

F2 · balance_after: Includes previously granted restricted stock units (RSUs), which are subject to future vesting.

Read SEC document
January 08, 2024 Filed Jan 10, 2024 22:44 UTC PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-24-000297 · 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: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 10,768,430

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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
January 08, 2024 Filed Jan 10, 2024 22:44 UTC PurchaseCommon Stock 4,042 $27.11 $109,570.13
Disclosure

SEC source: 0000919574-24-000297 · 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: No plan indicated

Ownership: Direct

Disclosed balance after: 10,768,430

F2 · price: This constitutes the weighted average purchase price. The prices range from $27.0405 to $27.435. 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.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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January 05, 2024 Filed Jan 6, 2024 00:07 UTC PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-24-000139 · ownership.xml · nonDerivative · entry 8

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: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 10,764,388

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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January 05, 2024 Filed Jan 6, 2024 00:07 UTC PurchaseCommon Stock 100 $28.90 $2,889.50
Disclosure

SEC source: 0000919574-24-000139 · ownership.xml · nonDerivative · entry 7

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: No plan indicated

Ownership: Direct

Disclosed balance after: 10,764,388

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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January 05, 2024 Filed Jan 6, 2024 00:07 UTC PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-24-000139 · ownership.xml · nonDerivative · entry 6

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: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 10,764,288

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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January 05, 2024 Filed Jan 6, 2024 00:07 UTC PurchaseCommon Stock 156,634 $28.48 $4,460,341.11
Disclosure

SEC source: 0000919574-24-000139 · ownership.xml · nonDerivative · entry 5

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: No plan indicated

Ownership: Direct

Disclosed balance after: 10,764,288

F4 · price: This constitutes the weighted average purchase price. The prices range from $27.88 to $28.82. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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January 04, 2024 Filed Jan 6, 2024 00:07 UTC PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-24-000139 · ownership.xml · nonDerivative · entry 4

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: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 10,607,654

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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January 04, 2024 Filed Jan 6, 2024 00:07 UTC PurchaseCommon Stock 63,246 $28.91 $1,828,182.55
Disclosure

SEC source: 0000919574-24-000139 · ownership.xml · nonDerivative · entry 3

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: No plan indicated

Ownership: Direct

Disclosed balance after: 10,607,654

F3 · price: This constitutes the weighted average purchase price. The prices range from $28.74 to $28.99. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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January 03, 2024 Filed Jan 4, 2024 00:14 UTC
FRINZI THOMAS GDirector · President & CEO
Tax withholdingCommon Shares 10,739 $29.20 $313,578.80
Disclosure

SEC source: 0001209191-24-000551 · doc4.xml · nonDerivative · entry 1

FRINZI THOMAS G · CIK 0001663458 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,294

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January 03, 2024 Filed Jan 6, 2024 00:07 UTC PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-24-000139 · 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: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 10,544,408

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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January 03, 2024 Filed Jan 6, 2024 00:07 UTC PurchaseCommon Stock 6,573 $28.93 $190,143.74
Disclosure

SEC source: 0000919574-24-000139 · 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: No plan indicated

Ownership: Direct

Disclosed balance after: 10,544,408

F2 · price: This constitutes the weighted average purchase price. The prices range from $28.85 to $28.99. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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December 29, 2023 Filed Jan 2, 2024 23:03 UTC GrantCommon Stock 3,200 $31.21 $99,872.00
Disclosure

SEC source: 0001209191-24-000222 · doc4.xml · nonDerivative · entry 1

WEISNER AIMEE S · CIK 0001227308 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,114

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December 29, 2023 Filed Jan 2, 2024 23:03 UTC GrantCommon Stock 921 $31.21 $28,744.41
Disclosure

SEC source: 0001209191-24-000221 · doc4.xml · nonDerivative · entry 1

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,912

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December 11, 2023 Filed Dec 12, 2023 23:31 UTC
SISITSKY NATHANIELGeneral Counsel
GrantCommon Stock Options · Derivative 39,860 $0.00 Strike: $32.14 $0.00
Disclosure

SEC source: 0001209191-23-058370 · doc4.xml · derivative · entry 2

SISITSKY NATHANIEL · CIK 0001225738 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,860

Underlying: Common Stock · 39,860 shares

Expires 2033-12-10

F2 · derivative.exercise_date: The options granted become exercisable as follows: 1/3 on 12/11/2024 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 12/11/2026.

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December 11, 2023 Filed Dec 12, 2023 23:31 UTC
SISITSKY NATHANIELGeneral Counsel
GrantCommon Stock 21,935 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-058370 · doc4.xml · nonDerivative · entry 1

SISITSKY NATHANIEL · CIK 0001225738 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,935

F1 · shares: Award of 21935 Restricted Stock Units of Common Stock (RSU), subject to forfeiture rights, which lapse as to 1/3 of the RSUs on 12/11/2024, 1/3 of the RSUs on 12/11/2025, and the remaining 1/3 of the RSUs on 12/11/2026.

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December 06, 2023 Filed Dec 6, 2023 21:11 UTC PurchaseCommon Stock 850 $30.74 $26,129.00
Disclosure

SEC source: 0001209191-23-057597 · doc4.xml · nonDerivative · entry 1

Zhou Lilian Yansheng · CIK 0002003105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,327

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.71 to $30.75, inclusive.

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December 04, 2023 Filed Dec 5, 2023 22:03 UTC GrantCommon Stock · Derivative 2,686 $0.00 Strike: $32.29 $0.00
Disclosure

SEC source: 0001209191-23-057467 · doc4.xml · derivative · entry 2

Zhou Lilian Yansheng · CIK 0002003105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,686

Underlying: Common Stock · 2,686 shares

Expires 2034-06-15

F2 · derivative.exercise_date: The options shall vest in full on the earlier of June 16, 2024, or the Corporation's 2024 Annual Shareholders Meeting.

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December 04, 2023 Filed Dec 5, 2023 22:03 UTC GrantCommon Stock 1,477 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-057467 · doc4.xml · nonDerivative · entry 1

Zhou Lilian Yansheng · CIK 0002003105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,477

F1 · shares: Includes restricted shares of common stock awarded on her appointment to the Board, which vest in full on the earlier of June 16, 2024, or the Corporation's 2024 Annual Shareholders Meeting.

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December 01, 2023 Filed Dec 4, 2023 22:59 UTC GrantCommon Stock 366 $32.99 $12,074.34
Disclosure

SEC source: 0001209191-23-057287 · doc4.xml · nonDerivative · entry 1

Kliman Gilbert H · CIK 0001293171 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,457

Read SEC document
November 30, 2023 Filed Dec 1, 2023 00:08 UTC PurchaseCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-23-006577 · ownership.xml · nonDerivative · entry 10

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: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 10,537,835

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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November 30, 2023 Filed Dec 1, 2023 00:08 UTC PurchaseCommon Stock 177,707 $31.42 $5,583,678.33
Disclosure

SEC source: 0000919574-23-006577 · ownership.xml · nonDerivative · entry 9

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: No plan indicated

Ownership: Direct

Disclosed balance after: 10,537,835

F6 · price: This constitutes the weighted average purchase price. The prices range from $30.84 to $31.81. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his 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.

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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.