Filing Details
- Accession Number:
- 0001261380-14-000075
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-18 16:23:39
- Reporting Period:
- 2014-11-17
- Filing Date:
- 2014-11-18
- Accepted Time:
- 2014-11-18 16:23:39
- 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 | 2014-11-17 | 625 | $3.86 | 2,589 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-11-17 | 625 | $8.28 | 1,964 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2014-11-17 | 1,025 | $3.99 | 2,989 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-11-17 | 1,025 | $8.28 | 1,964 | 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 | 2014-11-17 | 625 | $0.00 | 625 | $3.86 |
Common Stock | Stock Option Right to Buy | Disposition | 2014-11-17 | 1,025 | $0.00 | 1,025 | $3.99 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
17,000 | 2013-02-01 | 2017-01-01 | No | 4 | M | Direct |
26,600 | 2003-04-16 | 2016-04-16 | No | 4 | M | Direct |
Footnotes
- 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.
- This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt 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.
- 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.