-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DiTj8vyBNn1z6yPQcWTxoEtmJqOlNwVKvddldrfUXDlTfSbYpRgW05wEe7ym/4iP al/gb/HZi9s3KMHAJ9emIA== 0000891618-00-000887.txt : 20000215 0000891618-00-000887.hdr.sgml : 20000215 ACCESSION NUMBER: 0000891618-00-000887 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IRIDEX CORP CENTRAL INDEX KEY: 0001006045 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 770210467 STATE OF INCORPORATION: DE FISCAL YEAR END: 0102 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48169 FILM NUMBER: 540969 BUSINESS ADDRESS: STREET 1: 1212 TERRA BELLA AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 95034-1824 BUSINESS PHONE: 6509404700 MAIL ADDRESS: STREET 1: 1212 TERRA BELLA AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 95034-1824 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHANG MILTON PHD CENTRAL INDEX KEY: 0000923328 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O NEW FOCUS STREET 2: 2630 WLASH AVENUE CITY: SANTA CLARA STATE: CA ZIP: 95051-0905 MAIL ADDRESS: STREET 1: 2630 WLASH AVENUE CITY: SANTA CLARA STATE: CA ZIP: 95051 SC 13G 1 SCHEDULE 13G 1 ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: August 31, 1999 Estimated average burden Hours per response.....14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G AMENDMENT NO. 3* UNDER THE SECURITIES EXCHANGE ACT OF 1934 IRIDEX Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 462684 10 1 - -------------------------------------------------------------------------------- (CUSIP Number) - -------------------------------------------------------------------------------- Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1745 (3-98) Page 1 or 4 2 - -------------------------------- ----------------------------- CUSIP NO. 462684 10 1 13G - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON/S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Milton Chang - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZEN OR PLACE OF ORGANIZATION United States citizen - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 398,897 shares ------------------------------------------------------------ NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY EACH 0 shares REPORTING PERSON ------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER WITH 398,897 shares ------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 0 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 398,897 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- Page 2 or 4 3 ITEM 1. (a) NAME OF ISSUER: IRIDEX Corporation (b) ADDRESS OF ISSUER'S PRINCIPAL BUSINESS OFFICES: 1212 Terra Bella Avenue, Mountain View, CA 94043 ITEM 2. (a) NAME OF PERSON FILING: Milton Chang (b) ADDRESS OF PRINCIPAL BUSINESS OR, IF NONE, RESIDENCE: 26223 Scarff Way Los Altos Hills, CA 94022 (c) CITIZENSHIP: United States citizen (d) TITLE OF CLASS OF SECURITIES: Common Stock (e) CUSIP NUMBER: 462684 10 1 ITEM 3. Not applicable. ITEM 4. (a) AMOUNT BENEFICIALLY OWNED: 398,897 shares. Includes stock options for 31,877 shares exercisable within 60 days of December 31, 1999. (b) PERCENT OF CLASS: 6.1% The foregoing percentage is calculated based on the 6,526,533 shares of Common Stock reported to be outstanding as of November 9, 1999 in the Quarterly Report on Form 10-Q of IRIDEX Corporation filed for the fiscal quarter ended October 2, 1999. (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) Sole power to vote or to direct the vote: 398,897 shares (ii) Shared power to vote or to direct the vote: 0 shares (iii) Sole power to dispose or direct the disposition of: 398,897 shares (iv) Shared power to dispose or direct the disposition of: 0 shares Page 3 or 4 4 ITEM 5. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [ ] ITEM 6. Not applicable. ITEM 7. Not applicable. ITEM 8. Not applicable. ITEM 9. Not applicable. ITEM 10. Not applicable. This statement on Schedule 13G is not filed pursuant to Rule 13d-1(b). SIGNATURE After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. February 10, 1999 -------------------------------------------- Date /s/ Milton M. Chang -------------------------------------------- Signature Milton M. Chang -------------------------------------------- Name/Title Page 4 of 4 pages -----END PRIVACY-ENHANCED MESSAGE-----