0001209191-20-049754.txt : 20200908 0001209191-20-049754.hdr.sgml : 20200908 20200908173832 ACCESSION NUMBER: 0001209191-20-049754 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200903 FILED AS OF DATE: 20200908 DATE AS OF CHANGE: 20200908 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: 201164980 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 2020-09-03 0 0001006045 IRIDEX CORP IRIX 0001786824 Mercer Patrick 1212 TERRA BELLA AVENUE MOUNTAIN VIEW CA 94043 0 1 0 0 COO Common Stock 2020-09-03 4 A 0 15000 0.00 A 34592 D Stock Option (Right to buy) 2.13 2020-09-03 4 A 0 69000 0.00 A 2027-09-03 Common Stock 69000 69000 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 June 30, 2021 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, 2021 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 2020-09-08