false STAAR SURGICAL CO 0000718937 0000718937 2019-11-08 2019-11-08

UNITED STATES

SECU RITI ES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

FORM 8-K

CURRENT REPORT

Pu rsuant to S e ction 13 or 15(d) of t he S ec u rities Exchange Act of 1934

Date of re port (Date of earli est e v e nt r e porte d): November 8, 2019

STAAR Surgical Company

(Exact Na me of Registrant as Specified in Charter)

Delaware | 0-11634 | 95-3797439
(State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.)
1911 Walker Ave., Monrovia, California |  | 91016
(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 bel ow if the Fo rm 8-K fili ng is i ntended to simultaneously satis fy the filing obligation of the registrant under any of the f ollo w i ng provisions (s ee General Instruction A.2. belo w):

☐ | 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:

Title of each class | Trading Symbol(s) | Name of each exchange on which registered
Common | STAA | NASDAQ

Indicate by check mark w h ether the registra nt is an e merg ing gro w th co mpany as defined in Rule 405 of the Sec urities Act of 1 933 (17 CFR §230.405) or Rule 12 b-2 of the Sec urities E x change Act of 1934 (17 CFR §240.12 b-2).

Emer g i ng g row th co m pany ☐

If an e merg ing gro wth co mpany, i ndicate by check mark if t he registrant has elected not to use t he exte nded transition period for compl y i ng w ith any n ew or revised fin a ncial accounting sta ndards provided pursuant to Section 13(a) of the Exch ange Act. ☐

Item 7.01 | Regulation FD Disclosure.

Representatives of STAAR Surgical Company will give presentations to investors commencing on November 8, 2019. A copy of the slide presentation Caren Mason, STAAR’s President and Chief Executive Officer, and the slide presentation Dr. Mark Packer, will use in their presentations are furnished as Exhibit 99.1 to this Report and are incorporated herein by this reference.

The information furnished herewith pursuant to Item 7.01 of this Current Report, including Exhibit 99.1, shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section. The information in Item 7.01 of this Current Report shall not be incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act, whether made before or after the date of this Current Report, regardless of any general incorporation language in the filing.

Item 9.01 | Financial Statements and Exhibits
Exhibit No. | Description
99.1 | Slide Presentation by Caren Mason and slide presentation by Dr. Mark Packer, dated November 8, 2019.
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document).

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.

STAAR Surgical Company
November 8, 2019 | By: | /s/ Caren Mason
|  | Caren Mason
|  | President and Chief Executive Officer