SEC Form 4/A · accession 0001704739-17-000021
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
Ann D Rhoads
Director
Period of report
Jul 31, 2017
Accepted (ET)
Aug 2, 2017 · 7:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001006045
Table I — non-derivative securities
No Table I lines on this filing.
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,F3,F2 | $9.40 | Jul 31, 2017 | M | 15,000 | A | — | Jul 31, 2024 | Common Stock | 15,000 | 15,000 | 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.
- F3Remarks: This Form 4 is amended to correct a clerical error. The transaction date was erroneously reported as July 28, 2017, rather than July 31, 2017.