Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2018-12-13 20:55:56
Reporting Period:
Accepted Time:
2018-12-13 20:55:56
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1006045 Iridex Corp IRIX Electromedical & Electrotherapeutic Apparatus (3845) 770210467
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1217126 M William Moore 1212 Terra Bella Avenue
Mountain View CA 94043
Chairman And Ceo Yes Yes No No
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 Disposition 2018-11-24 1,462 $0.00 196,800 No 4 F Direct
Common Stock Acquisiton 2018-12-12 10,000 $4.34 206,800 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 64,900 Indirect By Spouse
Common Stock 256,085 Indirect See Footnote
  1. Reflects unreported shares withheld through November 24, 2018 in exempt dispositions to the Issuer under Rule 16b-3(e), to satisfy the Issuer's income tax withholding and remittance obligations in connection with the net settlement of restricted stock units and performance-based restricted stock units and does not represent sales by the Reporting Person. Determination of the number of shares withheld was based upon the closing prices of the Issuer's Common Stock on the dates withheld.
  2. Reflects the transfer by the reporting person of 13,538 shares of Common Stock, previously reported as owned directly, to 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 (the "Moore Trust").
  3. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.22 to $4.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.
  4. The shares are held by the Moore Trust.