UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of report (Date of earliest event reported): July 30, 2020
STAAR Surgical Company
(Exact Name of Registrant as Specified in Charter)
Delaware | 0-11634 | 95-3797439 |
(State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
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25651 Atlantic Ocean Drive Lake Forest, California | | 92630 |
(Address of Principal Executive Offices) | | (Zip Code) |
Registrant’s Telephone Number, Including Area Code: 626-303-7902
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
☐ | Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
☐ | Pre-commencement communication pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
☐ | Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
Common | STAA | NASDAQ |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1 933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.07. | Submission of Matters to a Vote of Security Holders |
STAAR Surgical Company’s virtual annual meeting of shareholders (the “Annual Meeting”) was held on July 30, 2020. 45,514,570 shares of common stock were outstanding on the record date for the Annual Meeting (June 1, 2020) and entitled to vote at the Annual Meeting. The voting was as follows:
1. | To elect six directors to serve for terms to expire in 2021 or until their successors have been elected and qualified. |
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| Number of Shares |
For | Withheld | Broker Non-Votes |
Stephen C. Farrell | 36,562,480 | 2,516,039 | 3,287,606 |
Thomas G. Frinzi Gilbert H. Kliman, MD Caren Mason | 39,049,667 39,049,070 38,999,107 | 28,852 29,449 79,412 | 3,287,606 3,287,606 3,287,606 |
John C. Moore | 38,590,738 | 487,781 | 3,287,606 |
Louis E. Silverman | 36,162,289 | 2,916,230 | 3,287,606 |
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2. | To amend the Amended and Restated STAAR Surgical Company Omnibus Equity Incentive Plan. |
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Number of Shares |
For | Against | Abstain | Broker Non-Votes |
36,280,969 | 2,785,607 | 11,943 | 3,287,606 |
3. | To ratify the selection of BDO USA, LLP as the Company’s independent registered public accountants for the fiscal year ending January 1, 2021. |
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Number of Shares |
For | Against | Abstain |
41,932,238 | 433,181 | 706 |
4. | To hold an advisory vote to approve STAAR’s compensation of its named executive officers. |
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Number of Shares |
For | Against | Abstain | Broker Non-Votes |
37,594,711 | 1,156,063 | 327,745 | 3,287,606 |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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STAAR Surgical Company |
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July 31, 2020 | By: | /s/ Caren Mason |
| | Caren Mason |
| | President and Chief Executive Officer |
