SEC Form 4 · accession 0001261380-16-000110
IRIDEX CORP · IRIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ruediger Naumann-Etienne
Director
Period of report
Sep 2, 2016
Accepted (ET)
Sep 7, 2016 · 7:47 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 StockF1 | Sep 2, 2016 | S | 2,513 | $14.73 | D | 71,433 | D | |
| Common StockF2 | Sep 7, 2016 | S | 7,000 | $14.7618 | D | 64,433 | D | |
| Common StockF3 | holding | — | — | — | 23,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold, ranging from $14.22 to $14.8606 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.
- F2The sales price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold, ranging from $14.750 to $14.77365 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.
- F3The Reporting Person is President of Naumann-Etienne Foundation and may be deemed to share voting and dispositive power of the shares held by his position.