SEC Form 4 · accession 0001261380-16-000106
IRIDEX CORP · IRIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Romeo R Dizon
Other
Period of report
Aug 18, 2016
Accepted (ET)
Aug 22, 2016 · 5:02 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 18, 2016 | M | 23 | $5.92 | A | 20,123 | D | |
| Common Stock | Aug 18, 2016 | S | 23 | $13.60 | D | 20,100 | D | |
| Common Stock | Aug 18, 2016 | M | 1,667 | $5.92 | A | 21,767 | D | |
| Common Stock | Aug 18, 2016 | S | 1,667 | $13.50 | D | 20,100 | D | |
| Common Stock | Aug 19, 2016 | M | 166 | $5.92 | A | 20,266 | D | |
| Common Stock | Aug 19, 2016 | S | 166 | $13.59 | D | 20,100 | D | |
| Common Stock | Aug 19, 2016 | M | 200 | $5.92 | A | 20,300 | D | |
| Common Stock | Aug 19, 2016 | S | 200 | $13.60 | D | 20,100 | D | |
| Common Stock | Aug 19, 2016 | M | 335 | $5.92 | A | 20,435 | D | |
| Common Stock | Aug 19, 2016 | S | 335 | $13.556 | D | 20,100 | D | |
| Common Stock | Aug 19, 2016 | M | 875 | $5.92 | A | 20,975 | D | |
| Common Stock | Aug 19, 2016 | S | 875 | $13.504 | D | 20,100 | D | |
| Common Stock | Aug 19, 2016 | M | 608 | $5.92 | A | 20,708 | D | |
| Common Stock | Aug 19, 2016 | S | 608 | $13.59 | D | 20,100 | D | |
| Common Stock | Aug 19, 2016 | M | 1,084 | $5.92 | A | 21,184 | D | |
| Common Stock | Aug 19, 2016 | S | 1,084 | $13.518 | D | 20,100 | D | |
| Common Stock | Aug 19, 2016 | M | 1,063 | $10.73 | A | 21,263 | D | |
| Common Stock | Aug 19, 2016 | S | 1,063 | $13.5031 | D | 20,100 | D | |
| Common Stock | Aug 19, 2016 | M | 1,875 | $8.58 | A | 21,975 | D | |
| Common Stock | Aug 19, 2016 | S | 1,875 | $13.5005 | D | 20,100 | 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 BuyF1,F2 | $5.92 | Aug 18, 2016 | M | 1,690 | D | Sep 19, 2014 | Sep 19, 2020 | Common Stock | 1,690 | 6,310 | D |
| Stock Option Right to BuyF1,F2 | $5.92 | Aug 19, 2016 | M | 3,268 | D | Sep 19, 2014 | Sep 19, 2020 | Common Stock | 3,268 | 3,042 | D |
| Stock Option Right to BuyF1,F2 | $10.73 | Aug 19, 2016 | M | 1,063 | D | Mar 24, 2015 | Mar 24, 2022 | Common Stock | 1,063 | 1,937 | D |
| Stock Option Right to BuyF1,F2 | $8.58 | Aug 19, 2016 | M | 1,875 | D | Mar 6, 2014 | Mar 6, 2021 | Common Stock | 1,875 | 1,125 | D |
Explanation of responses
- F1This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.
- F2The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest each month.