0001047859-18-000005.txt : 20180920 0001047859-18-000005.hdr.sgml : 20180920 20180920122702 ACCESSION NUMBER: 0001047859-18-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180918 FILED AS OF DATE: 20180920 DATE AS OF CHANGE: 20180920 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PARAGON ASSOCIATES & PARAGON ASSOCIATES II JOINT VENTURE CENTRAL INDEX KEY: 0001047859 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27598 FILM NUMBER: 181079044 BUSINESS ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 260 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2148713700 MAIL ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 260 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: PARAGON ASSOCIATES, PARAGON ASSOCIATES II JOINT VENTURE & PARAGON ASSOCIATES III JOINT VENTURE DATE OF NAME CHANGE: 20150723 FORMER NAME: FORMER CONFORMED NAME: PARAGON ASSOCIATES & PARAGON ASSOCIATES II JOINT VENTURE DATE OF NAME CHANGE: 19971015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Paragon JV Partners, LLC CENTRAL INDEX KEY: 0001605018 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27598 FILM NUMBER: 181079045 BUSINESS ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 260 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-871-3700 MAIL ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 260 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dyer Bradbury III CENTRAL INDEX KEY: 0001648748 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27598 FILM NUMBER: 181079046 MAIL ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 260 CITY: DALLAS STATE: TX ZIP: 75201 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-09-18 1 0001006045 IRIDEX CORP IRIX 0001047859 PARAGON ASSOCIATES & PARAGON ASSOCIATES II JOINT VENTURE 500 CRESCENT COURT SUITE 260 DALLAS TX 75201 0 0 0 1 Former 10% shareholder 0001605018 Paragon JV Partners, LLC 500 CRESCENT COURT SUITE 260 DALLAS TX 75201 0 0 0 1 Former 10% shareholder 0001648748 Dyer Bradbury III 500 CRESCENT COURT SUITE 260 DALLAS TX 75201 0 0 0 1 Former 10% shareholder Common Stock, par value $0.01 per share 2018-09-18 4 P 0 70000 6 A 1320000 D The filing of this Form 4 shall not be construed as an admission that Paragon JV Partners, LLC ("Paragon GP") or Bradbury Dyer III, the sole and managing member of Paragon GP, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, par value $0.01 per share (the "Common Stock"), of Iridex Corporation (the "Issuer") purchased by Paragon Associates and Paragon Associates II Joint Venture, a joint venture ("Paragon JV") formed by Paragon Associates, Ltd., a Texas limited partnership ("Paragon"), Paragon Associates II, Ltd., a Texas limited partnership ("Paragon II"), and Paragon Associates III, Ltd., a Texas limited partnership ("Paragon III"). Pursuant to Rule 16a-1, both Paragon GP and Mr. Dyer disclaim such beneficial ownership except to the extent of its or his respective pecuniary interest therein. Paragon JV holds 1,320,000 shares of Common Stock of the Issuer through its own account. Paragon GP serves as the general partner to each of Paragon, Paragon II and Paragon III, and as the investment advisor of Paragon JV. Paragon GP receives a portion of the profits in the form of a capital allocation from, and owns a partnership interest in, Paragon, Paragon II and Paragon III. Bradbury Dyer III reports the Common Stock held indirectly by Paragon GP because, as the sole and managing member of Paragon GP at the time of purchase, he controlled the disposition and voting of the securities. Bradbury Dyer III, Authorized Agent of Paragon Associates and Paragon Associates II Joint Venture 2018-09-20 Bradbury Dyer III, Sole and Managing Member of Paragon JV Partners, LLC 2018-09-20 Bradbury Dyer III 2018-09-20