Filing Details
- Accession Number:
- 0001261380-14-000060
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-15 18:46:10
- Reporting Period:
- 2014-08-13
- Filing Date:
- 2014-08-15
- Accepted Time:
- 2014-08-15 18:46:10
- 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 |
|---|---|---|---|---|---|---|---|
| 898243 | B James Hawkins | 1212 Terra Bella Avenue Mountain View CA 94043 | Yes | No | 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 | 2014-08-13 | 9,786 | $4.86 | 41,080 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-13 | 9,786 | $8.11 | 31,294 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-14 | 2,714 | $4.86 | 34,008 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-14 | 2,714 | $8.08 | 31,294 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-15 | 1,900 | $4.86 | 33,194 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-15 | 1,900 | $8.07 | 31,294 | 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 | 2014-08-13 | 9,786 | $0.00 | 9,786 | $4.86 |
| Common Stock | Stock Option Right to Buy | Disposition | 2014-08-14 | 2,714 | $0.00 | 2,714 | $4.86 |
| Common Stock | Stock Option Right to Buy | Disposition | 2014-08-15 | 1,900 | $0.00 | 1,900 | $4.86 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,214 | 2014-10-31 | No | 4 | M | Direct | |
| 2,500 | 2014-10-31 | No | 4 | M | Direct | |
| 600 | 2014-10-31 | No | 4 | M | Direct |
Footnotes
- The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $8.10 to $8.1375 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- The sales price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold, ranging from $8.00 to $8.135 per share. Upon request by the Commission staff, the Issuer, or a security holder of Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $8.00 to $8.09 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- This option was granted pursuant to IRIDEX Corporation's incentive 1998 Stock Plan and is exempt pursuant to Rule 16b-3.
- Shares subject to the option are fully vested and immediately exercisable.
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