Filing Details
- Accession Number:
- 0001704739-18-000056
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-13 20:55:56
- Reporting Period:
- 2018-11-24
- Accepted Time:
- 2018-12-13 20:55:56
- 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 |
|---|---|---|---|---|---|---|---|
| 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 |
Footnotes
- 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.
- 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").
- 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.
- The shares are held by the Moore Trust.
Billionaire Hedge Funds
