0001261380-14-000005.txt : 20140121 0001261380-14-000005.hdr.sgml : 20140120 20140121175721 ACCESSION NUMBER: 0001261380-14-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140117 FILED AS OF DATE: 20140121 DATE AS OF CHANGE: 20140121 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: Steckel Ronald CENTRAL INDEX KEY: 0001304121 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27598 FILM NUMBER: 14538807 MAIL ADDRESS: STREET 1: C/O FOXHOLLOW TECHNOLOGIES, INC. STREET 2: 740 BAY ROAD CITY: REDWOOD CITY STATE: CA ZIP: 94063 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-01-17 0001006045 IRIDEX CORP IRIX 0001304121 Steckel Ronald 1212 TERRA BELLA AVENUE MOUNTAIN VIEW CA 94043 0 1 0 0 VP, Operations Common Stock 2014-01-17 4 M 0 625 3.856 A 23875 D Common Stock 2014-01-17 4 S 0 625 10.4201 D 23250 D Common Stock 2014-01-17 4 M 0 1025 3.99 A 37875 D Common Stock 2014-01-17 4 S 0 1025 10.4201 D 36850 D Stock Option Right to Buy 3.856 2014-01-17 4 M 0 625 0 D 2013-02-01 2017-01-01 Common Stock 625 23250 D Stock Option Right to Buy 3.99 2014-01-17 4 M 0 1025 0 D 2013-04-16 2016-04-16 Common Stock 1025 36850 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 Selling Plan adopted by the reporting person on 3/5/13. This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt 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. 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 Ronald Steckel 2014-01-21