SEC Form 4 · accession 0001209191-18-027145

IRIDEX CORP · IRIX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Acuta Capital Fund, LP

10% Owner

Period of report

Jul 3, 2017

Accepted (ET)

May 1, 2018 · 4:59 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001006045

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Jul 3, 2017	P	2,756	$9.7493	A	1,159,767	D
Common Stock^F2	Jul 5, 2017	P	3,183	$9.5298	A	1,162,950	D
Common Stock^F3	Jul 6, 2017	P	17,600	$9.5318	A	1,180,550	D
Common Stock^F4	Jul 7, 2017	P	8,217	$9.6228	A	1,188,767	D
Common Stock^F5	Jul 10, 2017	P	6,933	$9.6064	A	1,195,700	D
Common Stock^F6	Jul 11, 2017	P	15,545	$9.5294	A	1,211,245	D
Common Stock^F7	Jul 12, 2017	P	9,742	$9.361	A	1,220,987	D
Common Stock^F8	Jul 13, 2017	P	5,017	$9.3097	A	1,226,004	D
Common Stock^F9	Jul 14, 2017	P	3,071	$9.4336	A	1,229,075	D
Common Stock^F10	Jul 17, 2017	P	2,017	$9.3879	A	1,231,092	D
Common Stock^F11	Jul 18, 2017	P	3,695	$9.3902	A	1,234,787	D
Common Stock^F12	Jul 19, 2017	P	4,141	$9.4172	A	1,238,928	D
Common Stock^F13	Jul 20, 2017	P	3,115	$9.557	A	1,242,043	D
Common Stock^F14	Jul 21, 2017	P	7,020	$9.5374	A	1,249,063	D
Common Stock^F15	Jul 24, 2017	P	2,895	$9.5737	A	1,251,958	D
Common Stock^F16	Jul 25, 2017	P	670	$9.62	A	1,252,628	D
Common Stock^F17	Jul 26, 2017	P	4,415	$9.621	A	1,257,043	D
Common Stock^F18	Jul 27, 2017	P	7,442	$9.4684	A	1,264,485	D
Common Stock^F19	Jul 28, 2017	P	8,633	$9.5023	A	1,273,118	D
Common Stock^F20	Jul 31, 2017	P	5,137	$9.4453	A	1,278,255	D
Common Stock^F21	Aug 1, 2017	P	8,055	$9.1373	A	1,286,310	D
Common Stock^F22	Aug 2, 2017	P	4,685	$8.7567	A	1,290,995	D
Common Stock^F23	Aug 3, 2017	P	2,040	$8.6671	A	1,293,035	D
Common Stock^F24	Aug 4, 2017	P	16,402	$8.1788	A	1,309,437	D
Common Stock^F25	Aug 7, 2017	P	600	$8.2282	A	1,310,037	D
Common Stock^F26	Aug 8, 2017	P	13,185	$8.1814	A	1,323,222	D
Common Stock^F27	Aug 9, 2017	P	9,730	$8.5953	A	1,332,952	D
Common Stock^F28	Aug 10, 2017	P	2,852	$8.4607	A	1,335,804	D
Common Stock^F29	Aug 11, 2017	P	5,365	$8.4762	A	1,341,169	D
Common Stock^F30	Aug 15, 2017	P	555	$8.5459	A	1,341,724	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1The shares were purchased in multiple transactions at prices ranging from $9.68 to $9.96 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F10The shares were purchased in multiple transactions at prices ranging from $9.33 to $9.42 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F11The shares were purchased in multiple transactions at prices ranging from $9.29 to $9.45 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F12The shares were purchased in multiple transactions at prices ranging from $9.25 to $9.56 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F13The shares were purchased in multiple transactions at prices ranging from $9.41 to $9.66 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F14The shares were purchased in multiple transactions at prices ranging from $9.42 to $9.60 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F15The shares were purchased in multiple transactions at prices ranging from $9.45 to $9.62 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F16The shares were purchased in multiple transactions at prices ranging from $9.59 to $9.64 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F17The shares were purchased in multiple transactions at prices ranging from $9.52 to $9.70 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F18The shares were purchased in multiple transactions at prices ranging from $9.38 to $9.69 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F19The shares were purchased in multiple transactions at prices ranging from $9.42 to $9.60 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F2The shares were purchased in multiple transactions at prices ranging from $9.43 to $9.59 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F20The shares were purchased in multiple transactions at prices ranging from $9.34 to $9.53 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F21The shares were purchased in multiple transactions at prices ranging from $9.06 to $9.21 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F22The shares were purchased in multiple transactions at prices ranging from $8.69 to $8.83 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F23The shares were purchased in multiple transactions at prices ranging from $8.60 to $8.78 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F24The shares were purchased in multiple transactions at prices ranging from $7.84 to $8.50 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F25The shares were purchased in multiple transactions at prices ranging from $8.21 to $8.25 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F26The shares were purchased in multiple transactions at prices ranging from $8.10 to $8.37 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F27The shares were purchased in multiple transactions at prices ranging from $8.50 to $8.66 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F28The shares were purchased in multiple transactions at prices ranging from $8.38 to $8.61 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F29The shares were purchased in multiple transactions at prices ranging from $8.44 to $8.50 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F3The shares were purchased in multiple transactions at prices ranging from $9.33 to $9.72 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F30The shares were purchased in multiple transactions at prices ranging from $8.52 to $8.56 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F4The shares were purchased in multiple transactions at prices ranging from $9.23 to $9.85 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F5The shares were purchased in multiple transactions at prices ranging from $9.55 to $9.73 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F6The shares were purchased in multiple transactions at prices ranging from $9.345 to $9.65 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F7The shares were purchased in multiple transactions at prices ranging from $9.19 to $9.51 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F8The shares were purchased in multiple transactions at prices ranging from $9.13 to $9.48 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F9The shares were purchased in multiple transactions at prices ranging from $9.35 to $9.47 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

Remarks

Due to limitations of the electronic filing system, this Form 4 is being filed in multiple parts. This is part 1 of 2.