SEC Form 4 · accession 0001704739-18-000016
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
Jun 4, 2018
Accepted (ET)
Jun 6, 2018 · 7:41 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 | Jun 4, 2018 | M | 5,000 | $3.7499 | A | 146,800 | D | |
| Common Stock | Jun 4, 2018 | M | 5,000 | $3.95 | A | 151,800 | D | |
| Common Stock | holding | — | — | — | 64,900 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 242,547 | I | See Footnote |
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 Buy)F1,F2 | $3.7499 | Jun 4, 2018 | M | 5,000 | D | — | Jul 2, 2019 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy)F1,F3 | $3.95 | Jun 4, 2018 | M | 5,000 | D | — | Jul 1, 2018 | 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 pursuant to Rule 16b-3.
- F21/12th of the shares vested on 8/2/2012 and each month thereafter
- F31/12th of the shares vested on 8/1/2011 and each month thereafter
- F4The shares are held by William M. Moore Trust, William M. Moore, Trustee Under Agreement Dated 08/16/2016 & Patricia A. Moore Trust, Patricia A. Moore,Trustee Under Agreement Dated 08/17/2016 Tenants in Common.