0001261380-16-000114.txt : 20161117 0001261380-16-000114.hdr.sgml : 20161117 20161117185900 ACCESSION NUMBER: 0001261380-16-000114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161116 FILED AS OF DATE: 20161117 DATE AS OF CHANGE: 20161117 ISSUER: 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: 1230 BUSINESS ADDRESS: STREET 1: 1212 TERRA BELLA AVE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 6509404700 MAIL ADDRESS: STREET 1: 1212 TERRA BELLA AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dizon Romeo R CENTRAL INDEX KEY: 0001658282 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27598 FILM NUMBER: 162006163 MAIL ADDRESS: STREET 1: 1212 TERRA BELLA AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-11-16 0001006045 IRIDEX CORP IRIX 0001658282 Dizon Romeo R 1212 TERRA BELLA AVENUE MOUNTAIN VIEW CA 94043 0 0 0 1 Principal Accounting Officer Common Stock 2016-11-16 4 M 0 334 5.92 A 20434 D Common Stock 2016-11-16 4 S 0 334 16.04 D 20100 D Common Stock 2016-11-16 4 M 0 125 8.58 A 20225 D Common Stock 2016-11-16 4 S 0 125 16.04 D 20100 D Common Stock 2016-11-16 4 M 0 125 10.73 A 20225 D Common Stock 2016-11-16 4 S 0 125 16.04 D 20100 D Stock Option Right to Buy 5.92 2016-11-16 4 M 0 334 0 D 2013-10-19 2020-09-19 Common Stock 334 1833 D Stock Option Right to Buy 8.58 2016-11-16 4 M 0 125 0 D 2014-03-06 2021-02-06 Common Stock 125 937 D Stock Option Right to Buy 10.73 2016-11-16 4 M 0 125 0 D 2015-03-24 2022-02-24 Common Stock 125 1750 D This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3. The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest each month. /s/ Susan Bruce, Attorney-in-Fact for Romeo R. Dizon 2016-11-17