SEC Form 4 · accession 0001704739-18-000037
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
Jul 28, 2018
Accepted (ET)
Jul 31, 2018 · 4:15 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 | Jul 28, 2018 | A | 40,000 | $0.00 | A | 191,800 | D | |
| Common Stock | holding | — | — | — | 64,900 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 242,547 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the grant of restricted stock units ("RSUs"). The RSUs vest as to one-third of the shares on July 27, 2019 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.
- F2The 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.