SEC Form 4 · accession 0001704739-18-000030
IRIDEX CORP · IRIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ruediger Naumann-Etienne
Director
Period of report
Jun 13, 2018
Accepted (ET)
Jun 15, 2018 · 8:12 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 | Jun 13, 2018 | A | 5,690 | $0.00 | A | 71,668 | D | |
| Common StockF1 | Jun 13, 2018 | A | 2,000 | $0.00 | A | 73,668 | D | |
| Common StockF2 | holding | — | — | — | 23,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 13, 2019 or the date of the Issuer's next annual meeting of stockholders.
- F2The shares are owned by the Naumann-Etienne Foundation, over which the Report Person may be deemed to share voting and dispositive power as a result of his position as president. The Reporting Person disclaims beneficial ownership of the shares owned by the Naumann-Etienne Foundation.