Fifth Amendment to Credit Agreement between Staar Surgical Company and Wells Fargo Bank

Contract Categories: Business Finance › Credit Agreements
Summary

This amendment updates the existing credit agreement between Staar Surgical Company and Wells Fargo Bank. It extends the maturity date of the credit facility, introduces a 0.25% annual commitment fee on unused credit, and adds new financial reporting and disclosure requirements for Staar. The amendment also allows the bank to conduct appraisals and access company records. These changes are effective as of October 1, 2001, and are subject to the conditions outlined in the amendment.

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EX-10.71 10 dex1071.txt FIFTH AMENDMENT TO CREDIT AGREEMENT October 1, 2001 Staar Surgical Company 1911 Walker Avenue Monrovia, California 91016 Attention: David Bailey Chief Executive Officer Re: Fifth Amendment to Credit Agreement Ladies and Gentlemen: We refer to (a) the letter agreement dated as of October 31, 2000, as amended by the letter amendment dated December 22, 2000, the letter amendment dated April 1, 2001 and two letter amendments dated July 1, 2001 (said letter agreement, as so amended, herein called the "Credit Agreement"), between Staar ---------------- Surgical Company, a Delaware corporation (the "Borrower"), and Wells Fargo Bank, -------- National Association, a national banking association (the "Bank"), and (b) the ---- Revolving Line of Credit Note dated October 31, 2000, as amended by the letter amendment dated April 1, 2001 referred to above by and one of the letter amendments dated July 1, 2001 referred to above (said Note, as so amended, herein called the "Line of Credit Note"), in the amount of $7,000,000 made by ------------------- the Borrower in favor of the Bank. Terms defined in the Credit Agreement and not otherwise defined herein have the same respective meanings when used herein. 1. Amendments to Credit Agreement. Effective as of the date of this letter ------------------------------ amendment but subject to satisfaction of the terms and conditions specified herein, the Credit Agreement is hereby amended as set forth below. (a) The first sentence of the second paragraph of the Credit Agreement is amended by deleting the date "April 1, 2001" and substituting the date "January 4, 2002." follows: (b) A new paragraph II.5 is added to the Credit Agreement to read as follows: "5. Commitment Fee. Borrower will pay Bank a commitment fee at the -------------- rate of 0.25% per annum (computed on the basis of a 360-day year and actual --- ----- days elapsed) on the average daily unused portion of the Line of Credit; from October 1, 2001 until the maturity date of the Line of Credit, payable monthly in arrears on the first business day of each calendar month, Staar Surgical Company October 1, 2001 Page 2 commencing on November 1, 2001, and on the maturity date of the Line of Credit." (c) Paragraph III.4 of the Credit Agreement is amended by deleting the words "the date hereof ' and substituting the date "October 1, 2001." (d) Paragraph III.5 of the Credit Agreement is amended by (i) deleting the date "June 30, 2000" and substituting the date "June 30, 2001" and (ii) deleting the words "prior to the date hereof." (e) Part III of the Credit Agreement is amended by adding new paragraphs III.12 and III.13 to read as follows: "12. Patents. No patent has been issued in the United States to or for ------- the benefit of, and no patent application has been filed in the United States by or on behalf of, Borrower or any subsidiary thereof, except as listed in Schedule 1 attached hereto or as otherwise disclosed to Bank in writing from time to time. 13. Credit Facilities. Since September 30, 2001, no credit facility ----------------- has been available to Borrower or any subsidiary thereof except for (a) the credit facility made available to Borrower by Bank pursuant to this letter, (b) the credit facility or facilities made available to Borrower and/or one or more subsidiaries thereof, the principal terms of which are described in Schedule 2 attached hereto, and (c) such other credit facilities (including the principal terms thereof) as disclosed by Borrower to Bank in writing from time to time." (f) Paragraph V.3 of the Credit Agreement is amended by deleting the word "and" at the end of paragraph V.3(c), deleting paragraph V.3(e) and adding the following after paragraph V.3(d): "(e) within 30 days after the end of each calendar month, commencing with September of 2001, unaudited consolidated and consolidating balance sheets of Borrower as of the end of such month and unaudited consolidated and consolidating statements of income and cash flows of Borrower for the period commencing at the end of the preceding fiscal year and ending with the end of such month, all in form, scope and detail satisfactory to Bank and duly certified (subject to normal-year end audit adjustments and the absence of footnotes) by the chief financial officer or chief accounting officer of Borrower as having been prepared in accordance with generally accepted accounting principles; Staar Surgical Company October 1, 2001 Page 3 (f) not later than the third Friday of each calendar month, (i) commencing on October 19, 2001, a projection of the consolidated cash flow of Borrower, detailing cash receipts and cash disbursements, for the 13-week period commencing on such Friday and (ii) commencing on November 16, 2001, a comparison of Borrower's actual consolidated cash flow to the projection of such cash flow, together with a written explanation of any variance exceeding 15%, in each case in form, scope and detail satisfactory to Bank and duly certified by an officer of Borrower, and in a manner, acceptable to Bank; (g) not later than the last business day of each calendar month, commencing on October 31, 2001, an aged listing of the United States domestic accounts receivable and United States domestic accounts payable of Borrower and its United States domestic subsidiaries as of the last day of the preceding calendar month, in form, scope and detail satisfactory to Bank and duly certified by an officer of Borrower, and in a manner, acceptable to Bank; (h) not later than 60 days after the end of each fiscal quarter of Borrower, commencing with the fiscal quarter ended on September 30, 2001, a comparison of Borrower's actual consolidated financial performance to the projection of such financial performance contained in the financial projections for various periods in 2001, 2002, 2003 and 2004 first delivered by Borrower to Bank on July 25, 2001, together with a written explanation of any variance exceeding 15%, all in form, scope and detail satisfactory to Bank and duly certified by an officer of Borrower, and in a manner, acceptable to Bank; (i) within 3 days after completion by Brian Testo Associates LLC of its written appraisal of Borrower's inventory and equipment conducted in September of 2001, a copy of such appraisal; and (j) promptly upon request by Bank, such other information concerning the business, condition (financial or otherwise), operations, performance, properties or prospects of Borrower or any subsidiary thereof as Bank may from time to time reasonably request." (g) Part V of the Credit Agreement is amended by adding a new paragraph V.18 to read as follows: "18. Appraisals, Etc. At any reasonable time and from time to time, --------------- upon reasonable prior notice to Borrower, permit Bank and its (or its counsel's) Staar Surgical Company October 1, 2001 Page 4 consultants, agents and representatives to examine and make copies of and abstracts from the records and books of account of, and visit the properties and have access to the assets of, Borrower and its subsidiaries and to discuss the affairs, finances and accounts of Borrower and its subsidiaries with any of their respective officers, directors and employees and with their independent certified public accountants, including for the purpose of conducting (a) an appraisal of the patents, patent applications and related agreements and other documents of Borrower and its subsidiaries and (b) if Bank is not satisfied with the appraisal referred to in paragraph V.3(i) hereof, an appraisal of the inventory and equipment of Borrower and its subsidiaries, all at the sole cost and expense of Borrower." (h) New Schedules 1 and 2 are added to the end of the Credit Agreement in the forms of Schedules 1 and 2, respectively, attached to this letter amendment. 2. Amendments to Line of Credit Note. Effective as of the date of this --------------------------------- letter amendment but subject to satisfaction of the terms and conditions specified herein, the Line of Credit Note is hereby amended as set forth below. (a) The first sentence of paragraph (a) under the caption "Interest" in the Line of Credit Note is amended in full to read as follows: "The outstanding principal balance of this Note shall bear interest (computed on the basis of a 360-day year, actual days elapsed) at a rate per annum equal to the sum of the Prime Rate in effect from time to plus 1.0% per annum." (b) Paragraph (c) under the caption "Interest" in the Line of Credit Note is amended in full to read as follows: "(c) Default Interest. Upon the occurrence and during the - ---------------- continuation of any Event of Default, the outstanding principal balance of this Note shall bear interest until paid in full at an increased rate per annum (computed on the basis of a 360-day year, actual days elapsed) equal to 4% above the rate of interest from time to time otherwise applicable to this Note." (c) The last sentence of paragraph (a) under the caption "Borrowing and Repayment" in the Line of Credit Note is amended by deleting the date "October 1, 2001" and substituting the date "January 4, 2002." Staar Surgical Company October 1, 2001 Page 5 (d) Paragraph (e) under the caption "Events of Default" in the Line of Credit Note is amended by adding the words "or representation made" after the word "provided." 3. Waiver of Events of Default under Credit Agreement. Effective as of the -------------------------------------------------- date of this letter amendment but subject to satisfaction of the terms and conditions specified herein, the Bank hereby waives (a) the Event of Default caused by the Borrower's violation of its covenant contained in paragraph V.9(b) of the Credit Agreement with respect to the Borrower's fiscal quarter ended on June 30, 2001 and (b) the Event of Default expected to be caused by the Borrower's violation of its covenant contained in paragraph V.9(b) of the Credit Agreement with respect to the Borrower's fiscal quarter ended on September 30, 2001. 4. Representations and Warranties. The Borrower hereby represents and ------------------------------ warrants for the benefit of the Bank that (a) the representations and warranties of the Borrower contained in the Loan Documents are correct in all material respects on and as of the date of this letter amendment, before and after giving effect to the same, as if made on and as of such date, and (b) no event has occurred and is continuing, or would result from the effectiveness of this letter amendment, that constitutes an Event of Default. 5. Conditions Precedent. This letter amendment shall become effective as of -------------------- the date first set forth above, subject to the conditions subsequent set forth in paragraph 6 below, when and if, on or before October 5, 2001, (a) the Borrower and the Bank execute counterparts of this letter amendment and deliver them to each other and (b) the Borrower pays the Bank an extension fee of $10,500 (which the Bank is hereby authorized to collect on or after October 1, 2001 by charging the Borrower's account number 4159-251172 (or any other account) with the Bank, in accordance with paragraph II.4 of the Credit Agreement). 6. Conditions Subsequent. The Borrower's delivery to the Bank of the --------------------- documents specified below, in form and substance satisfactory to the Bank and in the number of originals requested thereby, by the respective dates specified below shall be conditions subsequent to the effectiveness of this letter amendment: (a) not later than October 15, 2001, the following: (i) a certificate of the Secretary of the Borrower as to the incumbency, and setting forth a specimen signature, of each person who has signed this letter amendment, or will sign any Loan Document or modification thereof in the future, on behalf of the Borrower; and (ii) a certificate of the Secretary of Borrower certifying that the copy of the resolutions of the Board of Directors of the Borrower attached to such certificate, authorizing the Borrower to enter into, deliver and perform its obligations under this letter amendment, is correct and complete and in full force and effect; and Staar Surgical Company October 1, 2001 Page 6 (b) not later than October 31, 2001, the following: (i) projected consolidated balance sheets of the Borrower as of the quarter-end and year-end dates, through December 31, 2004, of the financial projections for various periods in 2001, 2002, 2003 and 2004 delivered by the Borrower to the Bank on July 25, 2001, such balance sheets to be certified by an officer of the Borrower, and in a manner, acceptable to the Bank; (ii) a copy of (A) each "prepayment letter agreement" or equivalent agreement (including any amendments or waivers with respect thereto) with St. Luke's Cataract and Laser Institute to which the Borrower or any subsidiary thereof is a party and (B) Borrower's standard form of consignment contract, in each case certified by an officer of the Borrower, and in a manner, acceptable to the Bank; (iii) a list of all insurance policies maintained for the Borrower or any subsidiary thereof, together with copies of such policies (including any amendments or waivers with respect thereto), certified by an officer of the Borrower, and in a manner, acceptable to the Bank; (iv) one or more insurance certificates naming the Bank as additional insured and/or loss payee, as the Bank may require, under such of the aforementioned insurance policies as the Bank may require; and (v) a list of all patents issued outside the United States to or for the benefit of, and all patent applications filed outside the United States by or on behalf of, the Borrower or any subsidiary thereof, certified by an officer of the Borrower, and in a manner, acceptable to the Bank 7. Release of Claims. The Borrower represents and warrants to the Bank that ----------------- it has diligently and thoroughly investigated the existence of any Claim (as defined below) and that, to its knowledge and belief, no Claim exists and no facts exist that could give rise to or support a Claim. As additional consideration for the Bank's entering into this letter amendment, the Borrower and each of its agents, employees, directors, officers, attorneys, affiliates, subsidiaries, successors and assigns (each a "Releasing Party") hereby release --------------- and forever discharge the Bank and each of its agents, direct and indirect shareholders, employees, directors, officers, attorneys, branches, affiliates, subsidiaries, successors and assigns (each a "Released Party") from any and all -------------- damages, losses, claims, demands, liabilities, obligations, actions and causes of action whatsoever (collectively "Claims") that the Releasing Parties or any ------ of them may, as of the date hereof, have or claim to have against any or all of the Released Parties, in each case whether currently known or unknown or with respect to which the facts are known (or should have been known), that could give rise to or support a Claim on account of or in any way relating to, arising out of or based upon any Loan Document, any amendment, waiver or other modification with respect thereto, the negotiation or documentation hereof or thereof, any of the transactions contemplated hereby or thereby, or any action or omission in connection with any of the foregoing, including all such damages losses, claims, demands, liabilities, obligations, actions and causes of action heretofore sustained or that may arise as a consequence of the dealings between the parties up to the date hereof in connection with or in any way related to any Loan Document or any amendment, Staar Surgical Company October 1, 2001 Page 7 waiver or other modification with respect thereto. Each Releasing Party further represents and warrants that it has not heretofore assigned, and covenants and agrees that it will not hereafter sue any Released Parry upon, any Claim released or purported to be released under this section. Each Releasing Party will indemnify and hold harmless the Released Parties against any loss or liability on account of any actions brought by any Releasing Party or its assigns or prosecuted on behalf of any Releasing Party and relating to any Claim released or purported to be released under this section. It is further understood and agreed that any and all rights under the provisions of Section 1542 of the California Civil Code are expressly waived by each of the Releasing Parties. Section 1542 of the California Civil Code provides as follows: "A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS WHICH THE CREDITOR DOES NOT KNOW OR SUSPECT TO EXIST IN HIS FAVOR AT THE TIME OF EXECUTING THE RELEASE, WHICH IF KNOWN BY HIM MUST HAVE MATERIALLY AFFECTED HIS SETTLEMENT WITH THE DEBTOR." 8. Reference to and Effect on Loan Documents. On and after the effective ----------------------------------------- date of this letter amendment, (a) each reference in the Credit Agreement to "this letter," "hereunder," "hereof," "herein" or words of like import referring to the Credit Agreement, and each reference in the other Loan Documents to "the Agreement," "thereunder," "thereof," "therein" or words of like import referring to the Credit Agreement, shall mean and be a reference to the Credit Agreement as amended by this letter amendment, and (b) each reference in the Line of Credit Note to "this Note," "hereunder," "hereof," "herein" or words of like import referring to the Line of Credit Note, and each reference in the other Loan Documents to "the Line of Credit Note," "thereunder," "thereof," "therein" or words of like import referring to the Line of Credit Note, shall mean and be a reference to the Line of Credit Note as amended by this letter amendment. The Credit Agreement and the Line of Credit Note, as amended by this letter amendment, are and shall continue to be in full force and effect and are hereby ratified and confirmed in all respects. 9. Execution in Counterparts. This letter amendment may be executed in any ------------------------- number of counterparts and by the parties hereto in separate counterparts, each of which counterparts shall be an original and all of which taken together shall constitute one and the same letter amendment. Staar Surgical Company October 1, 2001 Page 8 10. GOVERNING LAW. THIS LETTER AMENDMENT SHALL BE GOVERNED BY, AND ------------- CONSTRUED AND ENFORCED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF CALIFORNIA WITHOUT REFERENCE TO THE CHOICE-OF-LAW PRINCIPLES THEREOF. Very truly yours, WELLS FARGO BANK, NATIONAL ASS0CIATION By: /s/ EDITH R. LIM ----------------------- Name: EDITH R. LIM Title: Vice President Agreed as of the date first written above: STAAR SURGICAL COMPANY By: /s/ John S Santos ------------------ Name: John S Santos Title: VP CFO SCHEDULE 1 PATENTS AND PATENT APPLICATIONS ------------------------------- To be delivered to Wells Fargo by October 12, 2001 By: /s/ John S. Santos -------------------- STAAR Surgical Co. /s/ Edith R. Lim -------------------- Wells Fargo STAAR SURGICAL COMPANY, INC.
=================================================================================================== COUNTRY REFERENCE# TYPE FIELD SERIALS# ISSUED PATENTS STATUS =================================================================================================== TRANSVERSE HINGED DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS - --------------------------------------------------------------------------------------------------- UNITED STATES 080-111P-CIP CIP 10/25/1995 08/547,295 4/15/1997 5,620,450 ISSUED UNITED STATES 080-205P-CIP CIP 8/2/1996 08/691,491 7/27/1999 5,928,245 ISSUED UNITED STATES 080-104P-CON1 CON 12/18/1996 08/768,459 11/7/2000 6,143,000 ISSUED SPRING BIASED DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS - --------------------------------------------------------------------------------------------------- UNITED STATES 080-140P-GATT NEW 8/2/1996 08/691,489 6/16/1998 5,766,181 ISSUED UNITED STATES 080-140P-CON CON 6/11/1998 09/095,562 6/13/2000 6,074,397 ISSUED DEFORMABLE INTRAOCULAR LENS INSERTION SYSTEM - --------------------------------------------------------------------------------------------------- NEW ZEALAND 080-132-PCT-NZ CEQ 3/7/1996 305567 6/8/2000 305567 ISSUED NEW ZEALAND 080-154-CIP-NZ CEQ 10/24/1996 321437 6/8/2000 321437 ISSUED UNITED STATES 080-134P-CIP CIP 10/25/1995 08/547,908 4/1/1997 5,616,148 ISSUED UNITED STATES 080-132P-WLK CIP 3/10/1995 08/401,523 9/15/1998 5,807,400 ISSUED UNITED STATES 080-154P-WLK CIP 12/11/1995 08/570,564 6/30/1998 5,772,666 ISSUED METHOD OF LOADING AN INTRAOCULAR LENS INTO A LENS INJECTING APPARATUS, AND IMPLANTING THE INTRAOCULAR LENS THROUGH A SMALL INCISION MADE IN AN EYE - --------------------------------------------------------------------------------------------------- UNITED STATES 080-108P-DIV1 DIV 3/11/1998 09/038,058 5/11/1999 5,902,307 ISSUED INTRAOCULAR LENS INSERTION SYSTEM - --------------------------------------------------------------------------------------------------- UNITED STATES 080-133P-WLK NEW 1/4/1995 08/368,197 12/10/1996 5,582,614 ISSUED UNITED STATES 080-133P-CON1 CON 12/10/1996 08/762,731 2/9/1999 5,868,751 ISSUED UNITED STATES 080-169P-CON CON 12/13/1995 08/571,454 4/6/1999 5,891,152 ISSUED BIOLOGICAL MATERIAL, METHOD OF PREPARING SUCH MATERIALS, USES THEREOF AND PRODUCTS MADE THEREFROM - --------------------------------------------------------------------------------------------------- UNITED STATES 080-203P-CIP2 CIP 9/16/1997 08/931,448 12/26/2000 6,165,490 ISSUED INTRAOCULAR LENS FOR CORRECTING MODERATE TO SEVERE HYPERMETROPIA - --------------------------------------------------------------------------------------------------- UNITED STATES 080-216P-WLK NEW 12/30/1996 08/777,445 6/16/1998 5,766,245 ISSUED FROSTED HAPTIC INTRAOCULAR LENS - --------------------------------------------------------------------------------------------------- UNITED STATES 080-252P-WLK NEW 12/10/1997 08/988,185 10/10/2000 6,129,759 ISSUED BIOCOMPATIBLE POLYMERIC MATERIALS, METHODS OF PREPARING SUCH MATERIALS AND USES THEREOF - --------------------------------------------------------------------------------------------------- UNITED STATES 080-214P-WLK NEW 11/18/1996 08/751,706 11/30/1999 5,993,796 ISSUED DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS WITH DEFORMABLE TIP PLUNGER - --------------------------------------------------------------------------------------------------- UNITED STATES 080-154P-CON CON 6/16/1998 09/097,694 12/19/2000 6,162,229 ISSUED METHOD OF PREPARING A BIOLOGICAL MATERIAL FOR USE IN OPHTHALMOLOGY - --------------------------------------------------------------------------------------------------- UNITED STATES 080-215P-WLK NEW 1/29/1997 08/790,083 1/5/1999 5,856,120 ISSUED UNITED STATES 080-215P-DIV1 DIV 11/17/1998 09/192,526 8/10/1999 5,936,256 ISSUED UNITED STATES 080-215P-DIV2 DIV 11/17/1998 09/192,527 3/14/2000 6,037,144 ISSUED IRRIGATION SLEEVE FOR PHACOEMULSIFICATION APPARATUS - --------------------------------------------------------------------------------------------------- UNITED STATES 080-209P-WLK NEW 12/911996 08/762,123 11/3/1998 5,830,192 ISSUED A GLAUCOMA DRAIN IMPLANTING DEVICE AND METHOD - --------------------------------------------------------------------------------------------------- AUSTRALIA 080-211-PCT-AVS CEQ 2 ###-###-#### 64,164/198 4/19/2001 728,354 ISSUED UNITED STATES 080-211P-WLK NEW 2 ###-###-#### 08/808,577 4/l3/1999 5,893,837 ISSUED DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS WITH TRANSVERSE HINGED LENS CARTRIDGE - --------------------------------------------------------------------------------------------------- AUSTRALIA 080-205-GAT-AUS CEQ 7/31/1997 38210/97 8/17/2000 719064 ISSUED UNITED STATES 080-205P-WLK NEW 8/2/1996 08/691,492 3/2/1999 5,876,406 ISSUED - --------------------------------------------------------------------------------------------------- INTRAOCULAR CONTACT LENS AND METHOD OF IMPLANTATION - --------------------------------------------------------------------------------------------------- NEW ZEALAND 080-110-PCT-NZ CEQ 10/5/1995 294525 1/12/2000 294525 ISSUED UNITED STATES 080-110P-FWC CON 12/2/1996 08/755,886 6/22/1999 5,913,898 ISSUED
=================================================================================================== COUNTRY REFERENCE# TYPE FIELD SERIALS# ISSUED PATENTS STATUS =================================================================================================== INTRAOCULAR CONTACT LENS AND METHOD OF IMPLANTATION continued... UNITED STATES 080-110P-CIP CIP 10/24/1996 08/736,433 8/22/2000 6,106,553 ISSUED BIOCOMPATIBLE OPTICALLY TRANSPARENT POLYMERIC MATERIAL BASED UPON COLLAGEN AND METHOD OF MAKING - --------------------------------------------------------------------------------------------------- AUSTRALIA 080-141-PCT AUS CEQ 6/7/1996 61701/96 7/27/2000 718546 ISSUED CHIN 080-141-PCT-CHN CEQ 6/7/1996 96194593.1 1187213A ISSUED EUROPE 080-105-PCT-EPC CEQ 7/21/1995 95928100.7 0772645 ISSUED EUROPE 080-141-PCT-EPC CEQ 6/7/1996 96919343.2 0830412 ISSUED UNITED STATES 080-141P-CIPQ CIP 6/7/1995 08/485,253 8/5/1997 5,654,388 ISSUED UNITED STATES 080-150P-CIP CIP 6/7/1995 08/475,574 8/5/1997 5,654,349 ISSUED UNITED STATES 080-151P-SHK CIP 6/7/1995 08/475,578 8/5/1997 5,654,363 ISSUED UNITED STATES 080-152P-CIP CIP 6/7/1995 08/485,252 8/26/1997 5,590,749 ISSUED UNITED STATES 080-231P-CIP CIP 5/28/1997 08/865,420 6/8/1999 5,910,537 ISSUED IMPLANTATION DEVICE WITH DEFORMABLE NOZZLE TIP FOR IMPLANTING A DEFORMABLE INTRAOCULAR LENS - --------------------------------------------------------------------------------------------------- UNITED STATES 080-230P-CIP CIP 2/28/1997 08/808,576 5/2/2000 6,056,757 ISSUED INTRAOCULAR LENS INSERTION SYSTEM - --------------------------------------------------------------------------------------------------- AUSTRALIA 080-101-PCT-AU CEQ 9/29/1993 692425 692425 ISSUED AUSTRALIA 080-108-PCT-AUS CEQ 11/17/1995 45017/96 714145 ISSUED AUSTRALIA 080-101-AUS-DIV DIV 4/17/1998 61974/98 7/20/2000 717897 ISSUED AUSTRALIA 080-103-AUS-DIV DIV 3/17/1999 21253/99 7/27/2000 718363 ISSUED CANADA 080-101-PCT-CAN CEQ 9/29/1993 2,144,741 4/8 ###-###-#### ISSUED NEW ZEALAND 080-108-NZ-DIV DIV 3/18/1998 329985 11/17/1995 329985 ISSUED UNITED STATES 080-117P-CON CON 4/1/1994 08/221,013 2/27/1996 5,494,484 ISSUED UNITED STATES 080-102P-FWC CIP 9/20/1996 08/706,140 3/2/1999 5,876,440 ISSUED UNITED STATES 080-108P-FWC CON 11/12/1996 08/747,308 3/17/1998 5,728,102 ISSUED UNITED STATES 080-103P-WLK CIP 2/17/1994 08/197,604 3/19/1996 5,499,987 ISSUED UNITED STATES 080-140P-CIP CIP 8/2/1996 08/691,490 1/19/1999 5,860,984 ISSUED UNITED STATES 080-140P-CON2 CON 11/18/1998 09/195,448 1/16/2001 6,174,315 ISSUED HINGELESS LENS CARTRIDGE FOR INSERTION OF DEFORMABLE INTRAOCULAR LENS - --------------------------------------------------------------------------------------------------- NEW ZEALAND 080-104-NZ-DIV DIV 2/15/1995 330333 6/8/2000 330333 ISSUED UNITED STATES 080-104P-WLK CIP 2/15/1994 08/196,855 8/24/1999 5,941,886 ISSUED UNITED STATES 080-104P-CON2 CON 8/23/1999 09/378,959 6/5/2001 6,241,737 ISSUED DEFORMABLE INTRAOCULAR LENS INJECTING SYSTEM - --------------------------------------------------------------------------------------------------- UNITED STATES 080-135P-FWC CON 10/16/1997 08/951,311 9/1/1998 5,800,442 ISSUED DEFORMABLE INTRAOCULAR LENS INJECTING DEVICE - --------------------------------------------------------------------------------------------------- UNITED STATES 080-135P-DIV DIV 12/13/1996 08/766,022 2/8/2000 6,022,358 ISSUED INTRAOCULAR LENS INSERTION SYSTEM - --------------------------------------------------------------------------------------------------- UNITED STATES 080-118P-FWC CON 12/5/1996 08/760,327 12/14/1999 6,001,107 ISSUED DEFORMABLE INTRAOCULAR LENS INJECTING DEVICE - --------------------------------------------------------------------------------------------------- AUSTRALIA 080-135-PCT-AUS CEQ 3/13/1996 53,098/96 9/7/2000 720,114 ISSUED NEW ZEALAND 080-135-PCT-NZ CEQ 3/13/1996 305154 6/8/2000 035154 ISSUED INJECTION SYSTEM AND METHOD FOR USE WITH A DEFORMABLE INTRAOCULAR LENS - --------------------------------------------------------------------------------------------------- AUSTRALIA 080-138-PCT-AUS CEQ 5/24/1996 59,339/96 2/24/2000 712,574 ISSUED NEW ZEALAND 080-138-PCT-NZ CEQ 309324 5/24/1996 309324 ISSUED DEFORMABLE INTRAOCULAR LENS INJECTING SYSTEM - --------------------------------------------------------------------------------------------------- UNITED STATES 080-138P-CON2 CON 3/30/1998 09/050,056 4/11/2000 6,048,348 ISSUED DEFORMABLE INTRAOCULAR LENS INJECTION SYSTEM, AND METHOD THEREOF - --------------------------------------------------------------------------------------------------- UNITED STATES 080-138P-DIV DIV 12/19/1996 08/769,420 5/9/2000 6,059,791 ISSUED A METHOD AND APPARATUS FOR FOLDING A DEFORMABLE INTRAOCULAR LENS - --------------------------------------------------------------------------------------------------- NEW ZEALAND 080-107-PCT-NZ CEQ 1/4/1996 301954 301954 ISSUED
======================================================================================================= COUNTRY REFERENCE# TYPE FILED SERIAL# ISSUED PATENT# STATUS ======================================================================================================= ELECTRICAL SURGICAL APPARATUS INCLUDING PERSONAL COMPUTER - ------------------------------------------------------------------------------------------------------- UNITED STATES 080-278P-CIP1 CIP 11/6/1998 09/187,347 12/5/2000 6,155,975 ISSUED CORRECTIVE INTRAOCULAR LENS - ------------------------------------------------------------------------------------------------------- UNITED STATES 080-262L-WLK NEW 11/2/1993 5,258,025 ISSUED SURGICAL IMPLANTATION APPARATUS - ------------------------------------------------------------------------------------------------------- UNITED STATES 080-306P-WLK NEW 6/25/1999 09/344,355 4/24/2001 6,221,078 ISSUED VACUUM CANNULA APPARATUS AND METHOD FOR POSITIONING AN INTRAOCULAR LENS IN THE EYE - ------------------------------------------------------------------------------------------------------- UNITED STATES 080-308P-WLK NEW 7/22/1999 09/358,434 8/14/2001 6,273,894 ISSUED PROCESS FOR PRODUCING COLLAGEN-BASED CROSS-LINKED BIOPOLYMER, AND IMPLANT FROM SAID BIOPOLYMER, METHOD FOR PRODUCING SAID IMPLANT, AND METHOD FOR HERMETIZATION OF CORNEAL OR SCLERAL WOUNDS INVOLVED IN - ------------------------------------------------------------------------------------------------------- GERMANY 080-267L-WLK NEW 6/7/1989 ###-###-####.8-09 ###-###-####.8 ISSUED BIOCOMPATIBLE POLYMAR MATERIAL AND A PROCESS FOR PRODUCING SAME - ------------------------------------------------------------------------------------------------------- UNITED STATES 080-165L-WLK NEW 7/6/1990 07/549,452 2/15/1994 5,286,829 ISSUED CORRECTIVE OPTIC FOR AN INTACT NATURAL EYE - ------------------------------------------------------------------------------------------------------- GERMANY 080-167L-WLK NEW ###-###-####.0-09 5/27 ###-###-#### ISSUED Japanese Patent No. 2078621 - ------------------------------------------------------------------------------------------------------- JAPAN 080-265L NEW ###-###-#### ###-###-#### ISSUED PROCESS FOR PRODUCING COLLAGEN-BASED CROSS-LINKED BIOPLOYMER, AN IMPLANT FROM SAID BIOPOLYMER, METHOD FOR PRODUCING SAID IMPLANT, AND METHOD FOR HERMETIZATION OF CORNEAL OR SCLERAL WOUNDS INVOLVED IN - ------------------------------------------------------------------------------------------------------- UNITED STATES 080-142L-WLKI NEW 5/23/1989 356,263 12/18/1990 4,978,352 ISSUED CORRECTIVE INTRAOCULAR LENS - ------------------------------------------------------------------------------------------------------- ITALY 080-264L-WLK CEQ 6/12/1989 1234738 1234738 ISSUED UNITED STATES 080-263L-WLK NEW 4/22/1994 231,549 1/2/1996 5,480,428 ISSUED ======================================================================================================= END OF REPORT TOTAL ITEMS SELECTED = 76
STAAR SURGICAL COMPANY, INC. ========================================================================================================== COUNTRY REFERENCE# TYPE FILED SERIAL# ISSUED PATENT# STATUS ========================================================================================================== DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS WITH TRANSVERSE HINGED LENS CARTRIDGE - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-205P-CON CON 7/26/1999 09/359,804 PENDING SPRING BIASED DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS - ---------------------------------------------------------------------------------------------------------- AUSTRALIA 080-140-PCT-AUS CEQ 7/31/1997 40,457/97 PENDING CANADA 080-140-PCT-CAN CEQ 7/31/1997 2,262,891 PENDING EUROPE 080-140-PCT-EP CEQ 7/31/1997 97938042.5 PENDING JAPAN 080-140PCT-JPN CEQ 7/31/1997 10-507987 PUBLISHED WIPO 080-140-GAT-PCT CEQ 7/31/1997 PCT/US97/13084 PENDING TORIC INTRAOCULAR LENS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-109P-FWC CON 1/29/1997 08/790,100 PENDING DEFORMABLE INTRAOCULAR LENS INSERTION SYSTEM - ---------------------------------------------------------------------------------------------------------- AUSTRALIA 080-132-AUS-DIV DIV 5/9/2000 n/a PENDING CANADA 080-132-PCT-CAN CEQ 3/7/1996 2,214,638 PENDING CANADA 080-154-CIP-CAN CEQ 10/24/1996 2,234,002 PENDING CHINA 080-132-PCT CN CEQ 3/7/1996 96192467.5 PENDING CHINA 080-154-CIP-CHI CEQ 10/24/1996 96197847.3 PUBLISHED EUROPE 080-132-PCT-EPC CEQ 3/7/1996 96910389.4 PENDING EUROPE 080-154-CIP-EP CEQ 10/24/1996 96936995.8 PUBLISHED SOUTH KOREA 080-132-PCT-KR CEQ 3/7/1996 97-706196 PENDING SOUTH KOREA 080-154-PCT-KOR CEQ 10/24/1996 1998-702968 PENDING WIPO 080-132-PCT CEQ 3/7/1996 PCT/US96/03184 PENDING WIPO 080-154-PCT-CIP CEQ 10/24/1996 PCT/US96/17182 PENDING DEFORMABLE INTRAOCULAR LENS INSERTION SYSTEM - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-132P-CON1 CON 1/21/1998 09/010,527 PENDING UNITED STATES 080-132P-CON2 CON 1/16/2001 09/759,298 PENDING INTRAOCULAR LENS INSERTION DEVICE - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-169P-CON2 CON 3/11/1999 09/265,870 PENDING METHODS OF IMPLANTATION OF DEFORMABLE INTRAOCULAR LENS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-150P-CON CON 8/4/1997 08/905,322 PENDING BIOCOMPATIBLE POLYMERIC MATERIALS, METHODS OF MAKING AND USING SAME AND PRODUCTS MADE THEREFROM - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-202P-CIP CIP 12/31/1996 08/775,331 PENDING BIOLOGICAL MATERIAL, METHOD OF PREPARING SUCH MATERIALS, USES THEREOF AND PRODUCTS MADE THEREFROM - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-203P-CON3 CON 12/26/2000 09/745,446 PENDING FROSTED HAPTIC INTRAOCULAR LENS - ---------------------------------------------------------------------------------------------------------- AUSTRALIA 080-252-PCT-AUS CEQ 12/10/1998 18033/99 PENDING CANADA 080-252-PCT-CAN CEQ 12/10/1998 2,313,334 PENDING CHINA 080-252-PCT-CHN CEQ 6/12/2000 98812070.4 PENDING EUROPE 080-252-PCT-EP CEQ 6/5/2000 98962893.8 PENDING JAPAN 080-252-PCT-JAP CEQ 6/12/2000 2000-523943 PENDING SOUTH KOREA 080-252-PCT-KOR CEQ 6/10/2000 1020007006368 PENDING NEW ZEALAND 080-252-PCT-NZ CEQ 12/10/1998 504960 PENDING UNITED STATES 080-252P-CON1 CON 10/10/2000 09/685,029 PENDING WIPO 080-252-PCT CEQ 12/10/1998 PCT/US98/25718 PENDING DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS WITH DEFORMABLE TIP PLUNGER - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-154P-CON2 CON 12/19/2000 09/739,109 PENDING IRRIGATION SLEEVE FOR PHACOEMULSIFICATION APPARATUS - ---------------------------------------------------------------------------------------------------------- AUSTRALIA 080-209-PCT-AUS CEQ 12/8/1997 53,689/98 PENDING
========================================================================================================== COUNTRY REFERENCE# TYPE FILED SERIAL# ISSUED PATENT# STATUS ========================================================================================================== IRRIGATION SLEEVE FOR PHACOEMULSIFICATION APPARATUS continued... CANADA 080-209-PCT-CAN CEQ 12/8/1997 2,274,543 PENDING EUROPE 080-209-PCT-EP CEQ 12/8/1997 97950777.9 PUBLISHED NEW ZEALAND 080-209-PCT-NZ CEQ 12/8/1997 335842 PENDING UNITED STATES 080-209P-CIP CIP 4/28/1998 09/066,671 PENDING UNITED STATES 080-209P-CIP1 CIP 6/1/1998 09/088,051 PENDING WIPO 080-209-PCT CEQ PCT/US97/22028 PUBLISHED WIPO 080-209-PCTCIP2 CIP 5/28/1999 PCT/US99/10477 PENDING A GLAUCOMA DRAIN IMPLANTING DEVICE AND METHOD - ---------------------------------------------------------------------------------------------------------- CANADA 080-211-PCT-CAN CEQ 2/27/1998 2,281,472 PENDING CHINA 080-211-PCT-CHN CEQ 2/27/1998 98802954.5 PUBLISHED EUROPE 080-211-PCT-EP CEQ 2/27/1998 98909704.3 PENDING NEW ZEALAND 080-211-PCT-NZ CEQ 2/27/1998 337059 PENDING UNITED STATES 080-211P-DIV DIV 4/12/1999 09/289,537 PENDING WIPO 080-211-PCT CEQ 2/27/1998 PCT/IB98/00504 PENDING DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS WITH TRANSVERSE HINGED LENS CARTRIDGE - ---------------------------------------------------------------------------------------------------------- CANADA 080-205-PCT-CAN CEQ 7/31/1997 2,262,934 PENDING JAPAN 080-205-GATT-JP CEQ 7/31/1997 10-508049 PUBLISHED WIPO 080-205-PCT CEQ 7/31/1997 PCT/US97/13431 PENDING INTRAOCULAR CONTACT LENS AND METHOD OF IMPLANTATION - ---------------------------------------------------------------------------------------------------------- AUSTRALIA 080-110-PCT AUS CEQ 10/5/1995 37,351/95 PENDING AUSTRALIA 080-110-AUS-DIV DIV 10/19/1999 56042/99 PENDING CANADA 080-110-PCT-CAN CEQ 10/5/1995 2,201,936 PENDING CHINA 080-110-PCT-CHN CEQ 10/5/1995 95195490.3 PUBLISHED EUROPE 080-110-PCT-EP CEQ 10/5/1995 95935260.0 PUBLISHED SOUTH KOREA 080-110-PCT-KOR CEQ 10/5/1995 97-702214 PENDING UNITED STATES 080-110P-CON CON 8/22/2000 09/642,887 PENDING WIPO 080-110-PCT CEQ 10/5/1995 PCT/US95/12614 PENDING BIOCOMPATIBLE OPTICALLY TRANSPARENT POLYMERIC MATERIAL BASED UPON COLLAGEN AND METHOD OF MAKING - ---------------------------------------------------------------------------------------------------------- AUSTRALIA 080-105-PCT-AUS CEQ 7/21/1995 713336 PENDING AUSTRALIA 080-231-CIP-AUS CEQ 5/28/1998 78,018/98 PENDING CANADA 080-105-PCT-CAN CEQ 7/21/1995 2,195,567 PENDING CANADA 080-141-PCT-CAN CEQ 6/7/1996 2,223,442 PENDING CANADA 080-231-CIP-CAN CEQ 5/28/1998 2,289,834 PENDING CHINA 080-105-PCT-CHI CEQ 7/22/1997 95194293.X PENDING CHINA 080-231-CIP-CHI CEQ 11/24/1999 98805421.3 PUBLISHED EUROPE 080-231-PCT-EUR CEQ 5/28/1998 98926104.5 PUBLISHED JAPAN 080-231-CIP-JAP CEQ 2/28/1998 11-500896 PENDING SOUTH KOREA 080-105-PCT-KOR CEQ 1/21/1997 97-700386 PENDING SOUTH KOREA 080-141-pct-kor CEQ 6/7/1996 97-708642 PENDING NEW ZEALAND 080-141-PCT-NZ CEQ 6/7/1996 310832 PENDING NEW ZEALAND 080-231-CIP-NZ CEQ 5/28/1998 500866 PENDING WIPO 080-105-PCT CEQ 7/21/1995 PCT/US95/09202 PENDING WIPO 080-141-PCT CEQ 6/7/1996 PCT/US96/10013 PENDING WIPO 080-231-PCT-CIP CEQ 5/28/1998 PCT/US98/10866 PUBLISHED METHOD OF PRELOADING A DEFORMABLE INTRAOCULAR LENS INTO A LENS INJECTING APPARATUS FOR STORAGE AND/OR SHIPMENT - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-108P-DIV2 DIV 3/11/1998 09/038,053 PENDING IMPLANTATION DEVICE WITH DEFORMABLE NOZZLE TIP FOR IMPLANTING A DEFORMABLE INTROCULAR LENS - ---------------------------------------------------------------------------------------------------------- AUSTRALIA 080-230-CIP-AUS CEQ 2/27/1998 63,064/98 PENDING CANADA 080-230-CIP-CAN CEQ 2/27/1998 2,281,652 PENDING CHINA 080-230-CIP-CHN CEQ 8/30/1999 98802955.3 PUBLISHED EUROPE 080-230-CIP-EP CEQ 2/27/1998 98907113.9 PENDING NEW ZEALAND 080-230-CIP-NZ CEQ 8/4/1999 337057 PENDING
========================================================================================================== COUNTRY REFERENCE# TYPE FILED SERIAL# ISSUED PATENT# STATUS ========================================================================================================== PHACOEMULSIFICATION MACHINE "THE WAVE" - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-282S-WLK NEW N/A PENDING DEFORMABLE INTRAOCULAR LENSES, AND METHOD OF ANCHORING A DEFORMABLE INTRAOCULAR LENS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-287P-WLK NEW 4/1/1999 09/283,913 PENDING UNITED STATES 080-287P-CIP CIP 4/12/1999 09/289,538 PENDING WIPO 080-287P-CIP-PCT CEQ 3/31/2000 PCT/US00/08511 PUBLISHED JOHN MCADAMS PATENT SEARCH - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-290P-WLK NEW N/A PENDING RONALD A. SCHACHAR, PRESY CORPORATION SEARCH - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-291S-WLK NEW N/A PENDING METHODS OF REFRACTIVE CORRECTION OF THE EYE - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-294P-WLK NEW 5/6/1999 09/306,428 PENDING PHACOEMULSIFICATION NEEDLE - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-305P-WLK NEW N/A PENDING VACUUM CANNULA APPARATUS AND METHOD FOR POSITIONING AN INTRAOCULAR LENS IN THE EYE - ---------------------------------------------------------------------------------------------------------- WIPO 080-308-PCT CEQ 7/19/2000 PCT/US00/19596 PENDING SURGICAL APPARATUS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-310P-WLK NEW 11/9/1999 09/436,759 PENDING INTRAOCULAR LENS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-311P-WLK NEW 9/10/1999 09/393,697 PENDING WIPO 080-311-PCT CEQ 9/8/2000 PCT/US00/24611 PUBLISHED SIZING A PHAKIC REFRACTIVE LENS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-312P-WLK NEW 10/22/1999 09/422,638 PENDING WIPO 080-312-PCT CEQ 10/19/2000 PCT/US00/41252 PENDING DEFORMABLE INTRAOCULAR LENS INJECTING APPARATUS AND METHOD - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-283P-WLK NEW 10/22/1999 09/422,984 PENDING UNITED STATES 080-283P-CIP CIP 3/1/2000 09/516,767 PENDING WIPO 080-283-PCT CEQ 10/19/2000 PCT/US00/41251 PENDING WIPO 080-283PCT-CIP CEQ 2/28/2001 PCT/US00/06259 PENDING PHACOEMULSIFICATION APPARATUS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-321P-WLK NEW 12/3/1999 09/453,563 PENDING WIPO 080-321-PCT CEQ 12/1/2000 PCT/US00/42426 PENDING FAR DOMINANT VISUAL CORRECTION POSTERIOR CHAMBER MULTIFOCAL DEFORMABLE INTRAOCULAR PHAKIC REFRACTIVE LENS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-332P-WLK NEW 3/17/2000 09/527,674 PENDING MEDICAL ULTRASONIC MEASURING AND/OR MAPPING APPARATUS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-333P-WLK NEW 5/5/2000 09/565,386 PENDING ULTRASONIC APPARATUS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-343P-WLK NEW 5/17/2000 09/572,094 PENDING PROCESS FOR PRODUCING COLLAGEN-BASED CROSS-LINKED BIOPOLYMER, AND IMPLANT FROM SAID BIOPOLYMER, METHOD FOR PRODUCING SAID IMPLANT, AND METHOD FOR HERMETIZATION OF CORNEAL OR SCLERAL WOUNDS INVOLVED IN - ---------------------------------------------------------------------------------------------------------- FRANCE 080-266L-WLK NEW 6/2/1989 89 07330 PENDING PHACOEMULSIFICATION APPARATUS - ---------------------------------------------------------------------------------------------------------- UNITED STATES 080-356P-WLK NEW 1/22/2001 09/765,591 PENDING ========================================================================================================== END OF REPORT TOTAL ITEMS SELECTED = 153
United States Patent[19] [11] Patent Number : 4,573,998 Mazzocco [45] Date Of Patent: Mar. 4, 1986 - -------------------------------------------------------------------------------- [54] METHODS FOR IMPLANTATION OF DEFORMABLE INTRAOCULAR LENSES [75] Inventor: Thomas R. Mazzocco, Granada Hills, Calif. [73] Assignee: Staar Surgical Co., Monrovia, Calif [21] Appl. No.: 346,105 [22] Filed: Feb. 5, 1982 [51] Int. Cl./4/....................... A61F 2/16; A61B 17/00; A61B 17/28 [52] U.S. Cl. ..................................623/6;128/303 R; 128/321 [58] Field of Search ..................... 3/13, 1; 351/160 R, 351/160 H [56] References Cited U.S. PATENT DOCUMENTS 3,034,403 5/1962 Neefe ......................................3/13 X 3,760,045 9/1973 Thiele et al. .............................3/13 X 3,991,426 11/1976 Flom et al. ..................................3/13 3,992,563 11/1976 Tanaka .....................................3/13 X 4,110,848 9/1978 Jensen .......................................3/13 4,131,604 12/1978 Szycher ...................................3/1 A X 4,153,641 5/1979 Deichert et al. .......................351/160 H X 4,172,297 10/1979 Schlegel .....................................3/13 4,206,518 6/1980 Jardon et al. ................................3/13 4,242,291 12/1980 Hughes et al. .........................351/160 H X 4,244,060 1/1981 Hoffer .......................................3/13 4,253,199 3/1981 Banko ........................................3/13 4,285,073 8/1981 Szycher ......................................3/13 4,315,337 2/1982 Choyce ......................................3/13 4,365,360 12/1982 Ong .........................................3/13 4,377,329 3/1983 Poler ......................................3/13 X FOREIGN PATENT DOCUMENTS ###-###-#### 10/1978 Fed. Rep. of Germany ...................3/13 1103399 5/1955 France .................................3/13 Primary Examiner-Ronald L. Frinks Attorney, Agent, or Firm-Frank Frisenda, Jr. [57] ABSTRACT The invention provides an improved intraocular lens structure comprising a deformable optical zone portion with prescribed memory characteristics and methods and devices for implantation of such lens in the eye. The unique optical zone portion of the lens can be deformed by compressing, rolling, folding, stretching, or can be deformed by a combination of these techniques to temporarily reduce the optical zone portion to a diameter of about 80% or less of the cross-sectional diameter of the optical zone portion in an unstressed state. After insertion into the eye, the optical zone portion returns to its original configuration, full size and fixed focal length. The inventive methods and devices for implantation permit insertion of the improved lens through a relatively small incision made in the ocular tissue, thereby providing a safer, more convenient surgical procedure and more comfortable fit for the eye. 24 Claims, 63 Drawing Figures [GRAPHIC] -5- SCHEDULE 2 OTHER CREDIT FACILITIES ----------------------- A. Credit Facility Provided to by --------------------------------------------------------------------------- 1. date commencement of facility: 2. date of termination or maturity of facility: 3. maximum amount available under facility (in U.S.dollars): 4. amount outstanding under facility (in U.S.dollars) as of 9/30/01: 5. interest rate: 6. amortization, if any: 7. name(s) of guarantor(s), if any: 8. collateral, if any: To be delivered to Wells Fargo by October 12, 2001. By: /s/ Illegible ---------------------- STAAR Surgical Co. /s/ Illegible ----------------------- Wells Fargo SCHEDULE 2 ---------- OTHER CREDIT FACILITIES ----------------------- A. Credit Facility Provided to STAAR SURGICAL AG by UBS AG,BERNE - -- ------------------------------------------------------------- 1. date of commencement of facility: November,27,2000 -- -------------------------------------------------- 2. date of termination or maturity of facility: until further notice -- ----------------------------------------------------------------- 3. maximum amount available under facility (in dollars): -- ----------------------------------------------------- a) USD 1,859,543 (CHF 3,000,000) ---------------------------------- b) USD 1,239,695 (CHF 2,000,000) ---------------------------------- 4. amount outstanding under facility (in U.S. dollars) as of 9/30/01: ------------------------------------------------------------------ 5. interest rate: ------------- fixed advance: 4.49% -------------------- fixed advance: 4.73% -------------------- current acct: 5.5%(pa) + 0,25% (per quater) credit commission ------------------------------------------------------------- 6. amortization, if any: --------------------- a) none ------- b)USD 309,924 (CHF 500,000) per annum, payable half-yearly with USD ------------------------------------------------------------------- 154,962 (CHF 250,000) each time on June 30 and December 31; for the ------------------------------------------------------------------- first time on June 30,2002. --------------------------- 7. name(s) of guarantor(s), if any: none -- ------------------------------------- 7. collateral, if any: ------------------- General Purposes Assignment of Claims (Global Assignment) --------------------------------------------------------- SCHEDULE 2 ---------- OTHER CREDIT FACILITIES ----------------------- A. Credit Facility Provided to DOMILENS GmbH by Bankhaus Wolbern & Co. - -- ------------------------------------------------------------------- 1. date of commencement of facility: 01.06.2000 -- -------------------------------------------- 2. date of termination or maturity of facility: -------------------------------------------- from 01.09.2001- 31.10.2001 EURO 1.000.000,-- USD 914.409,-- from 01.11.2001- 30.11.2001 EURO 750.000,-- USD 685.807,-- from 01.12.2001 up to 28.02.2003 the amount reduces monthly by around figure of EURO 50.000,-- USD 45.720,-- 3. maximum amount available under facility (in U.S.dollars): --------------------------------------------------------- 4. amount outstanding under facility (in U.S.dollars) as of 9/30/01: ----------------------------------------------------------------- point 3 and 4: this is just a credit line up to EURO 1,0 Mio we are always using. 5. interest rate: 9% pa -- ------------------------------- 6. amortization, if any: None -- -------------------------- 7. name(s) of guarantor(s), if any: Gunther Roepstorff and -- ---------------------------------------------------------------------- DOMILENS GmbH ------------- 8. collateral, if any: None -- ------------------------