SEC Form 4/A · accession 0001261380-15-000051
IRIDEX CORP · IRIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James H Mackaness
Officer — CFO and COO
Period of report
Aug 13, 2015
Accepted (ET)
Aug 18, 2015 · 4:46 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 13, 2015 | M | 4,004 | $4.31 | A | 47,000 | D | |
| Common Stock | Aug 13, 2015 | S | 5,000 | $6.95 | D | 42,996 | D | |
| Common Stock | Aug 14, 2015 | M | 2,200 | $4.31 | A | 45,761 | D | |
| Common Stock | Aug 14, 2015 | S | 2,765 | $7.05 | D | 43,561 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option Right to BuyF2,F3 | $4.31 | Aug 13, 2015 | M | 5,000 | D | — | Apr 29, 2017 | Common Stock | 5,000 | 14,000 | D |
| Stock Option Right to BuyF2,F3 | $4.31 | Aug 14, 2015 | M | 2,765 | D | — | Apr 29, 2017 | Common stock | 2,765 | 11,235 | D |
Explanation of responses
- F1The sale reported in this Form 4 is a sell to cover transaction.
- F2This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.
- F3Shares subject to the option are fully vested and exercisable.