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IRIDEX CORP — Director's Dealing 2014
Nov 12, 2014
34978_dirs_2014-11-12_9f896ca6-c9db-4b99-9f7c-fbf5c9ac7e4a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: IRIDEX CORP (IRIX)
CIK: 0001006045
Period of Report: 2014-11-07
Reporting Person: Steckel Ronald (VP, Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-11-07 | Common Stock | M | 1250 | $3.856 | Acquired | 3214 | Direct |
| 2014-11-07 | Common Stock | S | 1250 | $8.00 | Disposed | 1964 | Direct |
| 2014-11-07 | Common Stock | M | 2050 | $3.99 | Acquired | 4014 | Direct |
| 2014-11-07 | Common Stock | S | 2050 | $8.00 | Disposed | 1964 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-11-07 | Stock Option Right to Buy | $3.856 | M | 1250 | Disposed | 2017-01-01 | Common Stock (1250) | Direct |
| 2014-11-07 | Stock Option Right to Buy | $3.99 | M | 2050 | Disposed | 2016-04-16 | Common Stock (2050) | Direct |
Footnotes
F1: 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.
F2: This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.
F3: The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest each month.
F4: 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.