0001209191-19-053965.txt : 20191024 0001209191-19-053965.hdr.sgml : 20191024 20191024194829 ACCESSION NUMBER: 0001209191-19-053965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191022 FILED AS OF DATE: 20191024 DATE AS OF CHANGE: 20191024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mercer Patrick CENTRAL INDEX KEY: 0001786824 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27598 FILM NUMBER: 191167151 MAIL ADDRESS: STREET 1: 1212 TERRA BELLA AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 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 2019-10-22 0 0001006045 IRIDEX CORP IRIX 0001786824 Mercer Patrick 1212 TERRA BELLA AVENUE MOUNTAIN VIEW CA 94043 0 1 0 0 COO Common Stock 2019-10-22 4 A 0 12667 0.00 A 22667 D Employee Stock Option (Right to buy) 2.25 2019-10-22 4 A 0 19000 0.00 A 2026-10-22 Common Stock 19000 19000 D 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. The RSUs vest as to one-third of the shares on July 1, 2020 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. This option granted pursuant to IRIDEX Corporation's 2008 Amended and Restated Equity Incentive Plan and is exempt pursuant to Rule16b-3. The option vests as to one-third of the shares on June 30, 2020 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. /s/ Nilo De Castro, Attorney-in-Fact for Patrick Mercer 2019-10-24