SEC Form 4 · accession 0001261380-17-000002
IRIDEX CORP · IRIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William M Moore
Officer — Chairman and CEO · Director
Period of report
Mar 10, 2017
Accepted (ET)
Mar 14, 2017 · 6:10 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 | Mar 10, 2017 | M | 5,000 | $0.00 | A | 350,931 | D | |
| Common Stock | holding | — | — | — | 78,944 | I | By Spouse |
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 | $3.90 | Mar 10, 2017 | M | 5,000 | A | Aug 1, 2010 | Jul 1, 2017 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.
- F2Shares subject to the option are fully vested and immediately exercisable.