Filing Details

Accession Number:
0001261380-13-000030
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-06-12 16:08:15
Reporting Period:
2013-06-10
Filing Date:
2013-06-12
Accepted Time:
2013-06-12 16:08:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1006045 Iridex Corp IRIX Electromedical & Electrotherapeutic Apparatus (3845) 770210467
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1422484 H James Mackaness 1212 Terra Bella Avenue
Mountain View CA 94043
Cfo And Coo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-06-10 2,100 $2.49 50,000 No 4 M Direct
Common Stock Disposition 2013-06-10 2,100 $5.34 47,900 No 4 S Direct
Common Stock Acquisiton 2013-06-10 1,500 $2.49 47,900 No 4 M Direct
Common Stock Disposition 2013-06-10 1,500 $5.43 46,400 No 4 S Direct
Common Stock Acquisiton 2013-06-10 570 $2.49 46,400 No 4 M Direct
Common Stock Disposition 2013-06-10 570 $5.40 45,830 No 4 S Direct
Common Stock Acquisiton 2013-06-10 2,800 $0.90 25,000 No 4 M Direct
Common Stock Disposition 2013-06-10 2,800 $5.34 22,200 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Comomon Stock Stock Option Right to Buy Disposition 2013-06-10 2,100 $0.00 2,100 $2.49
Common Stock Stock Option Right to Buy Disposition 2013-06-10 1,500 $0.00 1,500 $2.49
Common Stock Stock Option Right to Buy Disposition 2013-06-10 570 $0.00 570 $2.49
Common Stock Stock Option Right to Buy Disposition 2013-06-10 2,800 $0.00 2,800 $0.90
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
47,900 2008-02-02 2015-01-02 No 4 M Direct
46,400 2008-02-02 2015-01-02 No 4 M Direct
45,830 2008-02-02 2015-01-02 No 4 M Direct
22,200 2009-01-11 2015-12-11 No 4 M Direct
Footnotes
  1. The sale reported in this Form 4 was pursuant to the Reporting Person's Rule 10b5-1 Selling Plan that was effective March 7, 2013.
  2. This option was granted pursuant to IRIDEX Corporation's incentive 1998 Stock Equity Plan and is exempt pursuant to Rule 16b-3.
  3. The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest each month.
  4. This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.