Filing Details

Accession Number:
0001261380-14-000027
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-23 18:28:53
Reporting Period:
2014-04-21
Filing Date:
2014-04-23
Accepted Time:
2014-04-23 18:28:53
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 2014-04-21 1,000 $0.90 3,000 No 4 M Direct
Common Stock Disposition 2014-04-21 1,000 $8.65 2,000 No 4 S Direct
Common Stock Acquisiton 2014-04-21 2,000 $0.90 4,000 No 4 M Direct
Common Stock Disposition 2014-04-21 2,000 $8.66 2,000 No 4 S Direct
Common Stock Acquisiton 2014-04-22 1,000 $0.90 3,000 No 4 M Direct
Common Stock Disposition 2014-04-22 1,000 $9.00 2,000 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option Right to Buy Disposition 2014-04-21 4,000 $0.00 4,000 $0.90
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
7,000 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 effective November 21, 2013.
  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.