Filing Details

Accession Number:
0001261380-13-000062
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-06 17:32:31
Reporting Period:
2013-11-04
Filing Date:
2013-11-06
Accepted Time:
2013-11-06 17:32:31
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
1304121 Ronald Steckel 1212 Terra Bella Avenue
Mountain View CA 94043
Vp, Operations 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 2013-11-04 4,875 $3.86 30,000 No 4 M Direct
Common Stock Disposition 2013-11-04 4,875 $8.00 25,125 No 4 S Direct
Common Stock Acquisiton 2013-11-04 10,075 $3.99 50,000 No 4 M Direct
Common Stock Disposition 2013-11-04 10,075 $8.00 39,925 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option Right to Buy Disposition 2013-11-04 4,875 $0.00 4,875 $3.86
Common Stock Stock Option Right to Buy Disposition 2013-11-04 10,075 $0.00 10,075 $4.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
25,125 2013-02-01 2017-01-01 No 4 M Direct
39,925 2013-04-16 2016-04-16 No 4 M Direct
Footnotes
  1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 Selling Plan adopted by the reporting person on 3/5/13.
  2. This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt 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. The shares shall vest as follows: 12/48ths of the shares shall vest 12 months after the Vesting Commencement Date and 1/48th of the shares shall vest each month thereafter.