Filing Details
- Accession Number:
- 0001261380-13-000048
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-20 19:19:42
- Reporting Period:
- 2013-06-18
- Filing Date:
- 2013-06-20
- Accepted Time:
- 2013-06-20 19:19:42
- 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 | 2013-06-18 | 4,358 | $2.49 | 36,204 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-06-18 | 4,358 | $5.41 | 31,846 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-06-18 | 7,888 | $2.49 | 31,846 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-06-18 | 7,888 | $5.40 | 23,958 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-06-18 | 3,958 | $2.49 | 23,958 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-06-18 | 3,958 | $5.41 | 20,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-06-18 | 3,658 | $0.90 | 18,658 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-06-18 | 3,658 | $0.90 | 15,000 | 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 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option Right to Buy | Disposition | 2013-06-18 | 4,358 | $0.00 | 4,358 | $2.49 |
| Common Stock | Stock Option Right to Buy | Disposition | 2013-06-18 | 7,888 | $0.00 | 7,888 | $2.49 |
| Common Stock | Stock Option Right to Buy | Disposition | 2013-06-18 | 3,958 | $0.00 | 3,958 | $2.49 |
| Common Stock | Stock Option Right to Buy | Disposition | 2013-06-18 | 3,658 | $0.00 | 3,658 | $0.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 31,846 | 2008-02-02 | 2015-01-02 | No | 4 | M | Direct |
| 23,958 | 2008-02-02 | 2015-01-02 | No | 4 | M | Direct |
| 20,000 | 2008-02-02 | 2015-01-02 | No | 4 | M | Direct |
| 15,000 | 2009-01-11 | 2015-12-11 | No | 4 | M | Direct |
Footnotes
- The sale reported in this Form 4 was pursuant to the Reporting Person's Rule 10b5-1 Selling Plan effective March 5, 2013.
- This option was granted pursuant to IRIDEX Corporation's incentive 1998 Stock Plan and is exempt pursuant to Rule 16b-3.
- The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest each month.
- This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.
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