Filing Details
- Accession Number:
- 0001261380-16-000106
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-22 17:02:18
- Reporting Period:
- 2016-08-18
- Filing Date:
- 2016-08-22
- Accepted Time:
- 2016-08-22 17:02:18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1006045 | Iridex Corp | IRIX | Electromedical & Electrotherapeutic Apparatus (3845) | 770210467 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1658282 | R Romeo Dizon | 1212 Terra Bella Avenue Mountain View CA 94043 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-08-18 | 23 | $5.92 | 20,123 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-18 | 23 | $13.60 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-18 | 1,667 | $5.92 | 21,767 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-18 | 1,667 | $13.50 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-19 | 166 | $5.92 | 20,266 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-19 | 166 | $13.59 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-19 | 200 | $5.92 | 20,300 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-19 | 200 | $13.60 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-19 | 335 | $5.92 | 20,435 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-19 | 335 | $13.56 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-19 | 875 | $5.92 | 20,975 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-19 | 875 | $13.50 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-19 | 608 | $5.92 | 20,708 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-19 | 608 | $13.59 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-19 | 1,084 | $5.92 | 21,184 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-19 | 1,084 | $13.52 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-19 | 1,063 | $10.73 | 21,263 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-19 | 1,063 | $13.50 | 20,100 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-19 | 1,875 | $8.58 | 21,975 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-19 | 1,875 | $13.50 | 20,100 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
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Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option Right to Buy | Disposition | 2016-08-18 | 1,690 | $0.00 | 1,690 | $5.92 |
| Common Stock | Stock Option Right to Buy | Disposition | 2016-08-19 | 3,268 | $0.00 | 3,268 | $5.92 |
| Common Stock | Stock Option Right to Buy | Disposition | 2016-08-19 | 1,063 | $0.00 | 1,063 | $10.73 |
| Common Stock | Stock Option Right to Buy | Disposition | 2016-08-19 | 1,875 | $0.00 | 1,875 | $8.58 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,310 | 2014-09-19 | 2020-09-19 | No | 4 | M | Direct |
| 3,042 | 2014-09-19 | 2020-09-19 | No | 4 | M | Direct |
| 1,937 | 2015-03-24 | 2022-03-24 | No | 4 | M | Direct |
| 1,125 | 2014-03-06 | 2021-03-06 | No | 4 | M | Direct |
Footnotes
- 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.
Billionaire Hedge Funds
