0001261380-13-000044.txt : 20130618 0001261380-13-000044.hdr.sgml : 20130618 20130618164034 ACCESSION NUMBER: 0001261380-13-000044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130614 FILED AS OF DATE: 20130618 DATE AS OF CHANGE: 20130618 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 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: 13919846 MAIL ADDRESS: STREET 1: 1212 TERRA BELLA AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-06-14 0001006045 IRIDEX CORP IRIX 0001422484 Mackaness James H 1212 TERRA BELLA AVENUE MOUNTAIN VIEW CA 94043 0 1 0 0 CFO and COO Common Stock 2013-06-14 4 M 0 1057 2.49 A 43630 D Common Stock 2013-06-14 4 S 0 1057 5.4001 D 42573 D Common Stock 2013-06-14 4 M 0 6114 2.49 A 42573 D Common Stock 2013-06-14 4 S 0 6114 5.3739 D 36459 D Common Stock 2013-06-14 4 M 0 3057 .90 A 21800 D Common Stock 2013-06-14 4 S 0 3057 5.3739 D 18743 D Common Stock 2013-06-17 4 M 0 255 2.49 A 36459 D Common Stock 2013-06-17 4 S 0 255 5.50 D 36204 D Common Stock 2013-06-17 4 M 0 85 .90 A 18743 D Common Stock 2013-06-14 4 S 0 85 5.50 D 18658 D Stock Option Right to Buy 2.49 2013-06-14 4 M 0 1057 0 D 2008-02-02 2015-01-02 Common Stock 1057 42573 D Stock Option Right to Buy 2.49 2013-06-14 4 M 0 6114 0 D 2008-02-02 2015-01-02 Common Stock 6114 36459 D Stock Option Right to Buy .90 2013-06-14 4 M 0 3057 0 D 2009-01-01 2015-12-11 Common Stock 3057 18743 D Stock Option Right to Buy 2.49 2013-06-17 4 M 0 255 0 D 2008-02-02 2015-01-02 Common Stock 255 36204 D Stock Option Right to Buy 5.38 2013-06-17 4 M 0 85 0 D 2009-01-11 2015-12-11 Common Stock 85 18658 D The sale reported in this Form 4 was pursuant to the Reporting Person's Rule 10b5-1 Selling Plan effective March 5, 2013. This option was granted pursuant to IRIDEX Corporation's incentive 1998 Stock Plan and is exempt pursuant to Rule 16b-3. The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest each month. This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3. /s/ Susan Bruce, Attorney-in-Fact for James H. Mackaness 2013-06-18