Sec Form 4 Filing - BROADWOOD PARTNERS, L.P. @ STAAR SURGICAL CO - 2021-01-26

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
BROADWOOD PARTNERS, L.P.
2. Issuer Name and Ticker or Trading Symbol
STAAR SURGICAL CO [ STAA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O BROADWOOD CAPITAL INC., 142 WEST 57TH STREET, 11TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
01/26/2021
(Street)
NEW YORK, NY10019
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/26/2021 S 347,000 D $ 102.33 ( 2 ) 10,342,905 D ( 1 )
Common Stock 01/26/2021 S 0 D $ 0 10,342,905 I Footnote ( 1 )
Common Stock 01/27/2021 S 164,686 D $ 103.99 ( 3 ) 10,178,219 D ( 1 )
Common Stock 01/27/2021 S 0 D $ 0 10,178,219 I Footnote ( 1 )
Common Stock 01/28/2021 S 278,197 D $ 105.83 ( 4 ) 9,900,022 D ( 1 )
Common Stock 01/28/2021 S 0 D $ 0 9,900,022 I Footnote ( 1 )
Common Stock 25,900 D ( 5 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
BROADWOOD PARTNERS, L.P.
C/O BROADWOOD CAPITAL INC.
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY10019
X
BROADWOOD CAPITAL INC
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY10019
X
BRADSHER NEAL C
C/O BROADWOOD CAPITAL INC.
142 WEST 57TH STREET, 11TH FLOOR
NEW YORK, NY10019
X
Signatures
Broadwood Partners, L.P. By: Broadwood Capital, Inc. By: /s/ Neal C. Bradsher, President 01/28/2021
Signature of Reporting Person Date
Broadwood Capital, Inc. By: /s/ Neal C. Bradsher, President 01/28/2021
Signature of Reporting Person Date
Neal C. Bradsher /s/ Neal C. Bradsher 01/28/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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. Each Reporting Person disclaims 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.
( 2 )This constitutes the weighted average sale price. The prices range from $96.50 to $105.30. Full information regarding the number of shares sold at each separate price are set forth on Exhibit B to the Schedule 13D/A filed by the Reporting Persons with the Securities and Exchange Commission (the "SEC") on the date hereof, which is incorporated herein by reference.
( 3 )This constitutes the weighted average sale price. The prices range from $100.05 to $106.58. Full information regarding the number of shares sold at each separate price are set forth on Exhibit B to the Schedule 13D/A filed by the Reporting Persons with the SEC on the date hereof, which is incorporated herein by reference.
( 4 )This constitutes the weighted average sale price. The prices range from $100.43 to $108.81. Full information regarding the number of shares sold at each separate price are set forth on Exhibit B to the Schedule 13D/A filed by the Reporting Persons with the SEC on the date hereof, which is incorporated herein by reference.
( 5 )These securities are directly owned by Neal C. Bradsher.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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