0001209191-19-043262.txt : 20190725 0001209191-19-043262.hdr.sgml : 20190725 20190725185315 ACCESSION NUMBER: 0001209191-19-043262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190723 FILED AS OF DATE: 20190725 DATE AS OF CHANGE: 20190725 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NAUMANN-ETIENNE RUEDIGER CENTRAL INDEX KEY: 0001219636 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27598 FILM NUMBER: 19975609 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: 1228 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 doc4.xml FORM 4 SUBMISSION X0306 4 2019-07-23 0 0001006045 IRIDEX CORP IRIX 0001219636 NAUMANN-ETIENNE RUEDIGER 1212 TERRA BELLA AVENUE MOUNTAIN VIEW CA 94043 1 0 0 0 Common Stock 2019-07-23 4 A 0 11204 0.00 A 84872 D Common Stock 2019-07-23 4 A 0 2000 0.00 A 86872 D Common Stock 23000 I See Footnote Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of July 23, 2020 or the date of the Issuer's next annual meeting of stockholders. The shares are owned by the Naumann-Etienne Foundation, over which the Report Person may be deemed to share voting and dispositive power as a result of his position as president. The Reporting Person disclaims beneficial ownership of the shares owned by Naumann-Etienne Foundation. /s/ Nilo De Castro, Attorney-in-Fact for Ruediger Naumann-Etienne 2019-07-25