SEC Form 4 · accession 0001261380-16-000114
IRIDEX CORP · IRIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Romeo R Dizon
Other
Period of report
Nov 16, 2016
Accepted (ET)
Nov 17, 2016 · 6:59 pm EST
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 | Nov 16, 2016 | M | 334 | $5.92 | A | 20,434 | D | |
| Common Stock | Nov 16, 2016 | S | 334 | $16.04 | D | 20,100 | D | |
| Common Stock | Nov 16, 2016 | M | 125 | $8.58 | A | 20,225 | D | |
| Common Stock | Nov 16, 2016 | S | 125 | $16.04 | D | 20,100 | D | |
| Common Stock | Nov 16, 2016 | M | 125 | $10.73 | A | 20,225 | D | |
| Common Stock | Nov 16, 2016 | S | 125 | $16.04 | 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 | Nov 16, 2016 | M | 334 | D | Oct 19, 2013 | Sep 19, 2020 | Common Stock | 334 | 1,833 | D |
| Stock Option Right to BuyF1,F2 | $8.58 | Nov 16, 2016 | M | 125 | D | Mar 6, 2014 | Feb 6, 2021 | Common Stock | 125 | 937 | D |
| Stock Option Right to BuyF1,F2 | $10.73 | Nov 16, 2016 | M | 125 | D | Mar 24, 2015 | Feb 24, 2022 | Common Stock | 125 | 1,750 | 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.