0001261380-13-000003.txt : 20130207 0001261380-13-000003.hdr.sgml : 20130207 20130207172248 ACCESSION NUMBER: 0001261380-13-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130205 FILED AS OF DATE: 20130207 DATE AS OF CHANGE: 20130207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mackaness James H CENTRAL INDEX KEY: 0001422484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27598 FILM NUMBER: 13583388 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: 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 edgar.xml PRIMARY DOCUMENT X0306 4 2013-02-05 0001006045 IRIDEX CORP IRIX 0001422484 Mackaness James H 1212 TERRA BELLA AVENUE MOUNTAIN VIEW CA 94043 0 1 0 0 Chief Financial Officer Common Stock 2013-02-05 4 M 0 3000 2.49 A 5000 D Common Stock 2013-02-05 4 S 0 3000 4.7073 D 2000 D Common Stock 2013-02-06 4 M 0 3000 2.49 A 5000 D Common Stock 2013-02-06 4 S 0 3000 4.7073 D 2000 D Common Stock 2013-02-07 4 M 0 3000 2.49 A 5000 D Common Stock 2013-02-07 4 S 0 3000 4.6584 D 2000 D Stock Option Right to Buy 2.49 2013-02-05 4 M 0 3000 0 D 2009-01-02 2015-01-02 Common Stock 3000 77000 D Stock Option Right to Buy 2.49 2013-02-06 4 M 0 3000 0 D 2009-01-02 2015-01-02 Common Stock 3000 74000 D Stock Option Right to Buy 2.49 2013-02-07 4 M 0 3000 0 D 2009-01-02 2015-01-02 Common Stock 3000 71000 D The sale reported in this Form 4 was pursuant to the Reporting Person's Rule 10b5-1 Selling Plan that was effective March 12, 2012. This option was granted pursuant to IRIDEX Corporation's incentive 1998 Stock Plan and is exempt pursuant to Rule 16b-3. The shares shall vest as follows: 12/48ths of the shares shall vest 12 months after the Vesting Commencement Date and 1/48th of the shares shall vest each month thereafter. /s/ Susan Bruce, Attorney-in-Fact for James H. Mackaness 2013-02-07