SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Dizon Romeo R

(Last) (First) (Middle)
1212 TERRA BELLA AVENUE

(Street)
MOUNTAIN VIEW CA 94043

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
IRIDEX CORP [ IRIX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
Principal Accounting Officer
3. Date of Earliest Transaction (Month/Day/Year)
08/18/2016
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/18/2016 M 23 A $5.92 20,123 D
Common Stock 08/18/2016 S 23 D $13.6 20,100 D
Common Stock 08/18/2016 M 1,667 A $5.92 21,767 D
Common Stock 08/18/2016 S 1,667 D $13.5 20,100 D
Common Stock 08/19/2016 M 166 A $5.92 20,266 D
Common Stock 08/19/2016 S 166 D $13.59 20,100 D
Common Stock 08/19/2016 M 200 A $5.92 20,300 D
Common Stock 08/19/2016 S 200 D $13.6 20,100 D
Common Stock 08/19/2016 M 335 A $5.92 20,435 D
Common Stock 08/19/2016 S 335 D $13.556 20,100 D
Common Stock 08/19/2016 M 875 A $5.92 20,975 D
Common Stock 08/19/2016 S 875 D $13.504 20,100 D
Common Stock 08/19/2016 M 608 A $5.92 20,708 D
Common Stock 08/19/2016 S 608 D $13.59 20,100 D
Common Stock 08/19/2016 M 1,084 A $5.92 21,184 D
Common Stock 08/19/2016 S 1,084 D $13.518 20,100 D
Common Stock 08/19/2016 M 1,063 A $10.73 21,263 D
Common Stock 08/19/2016 S 1,063 D $13.5031 20,100 D
Common Stock 08/19/2016 M 1,875 A $8.58 21,975 D
Common Stock 08/19/2016 S 1,875 D $13.5005 20,100 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option Right to Buy(1) $5.92 08/18/2016 M 1,690 09/19/2014(2) 09/19/2020 Common Stock 1,690 $0 6,310 D
Stock Option Right to Buy(1) $5.92 08/19/2016 M 3,268 09/19/2014(2) 09/19/2020 Common Stock 3,268 $0 3,042 D
Stock Option Right to Buy(1) $10.73 08/19/2016 M 1,063 03/24/2015(2) 03/24/2022 Common Stock 1,063 $0 1,937 D
Stock Option Right to Buy(1) $8.58 08/19/2016 M 1,875 03/06/2014(2) 03/06/2021 Common Stock 1,875 $0 1,125 D
Explanation of Responses:
1. This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.
2. The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest each month.
Remarks:
/s/ Susan Bruce, Attorney-in-Fact for Romeo R. Dizon 08/22/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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