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IRIDEX CORP — Director's Dealing 2014
Aug 16, 2014
34978_dirs_2014-08-15_fc105907-6c1f-4d63-8b97-3d7ebe4358f3.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: 2014-08-13
Reporting Person: HAWKINS JAMES B (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-08-13 | Common Stock | M | 9786 | $4.86 | Acquired | 41080 | Direct |
| 2014-08-13 | Common Stock | S | 9786 | $8.1081 | Disposed | 31294 | Direct |
| 2014-08-14 | Common Stock | M | 2714 | $4.86 | Acquired | 34008 | Direct |
| 2014-08-14 | Common Stock | S | 2714 | $8.0812 | Disposed | 31294 | Direct |
| 2014-08-15 | Common Stock | M | 1900 | $4.86 | Acquired | 33194 | Direct |
| 2014-08-15 | Common Stock | S | 1900 | $8.0703 | Disposed | 31294 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-08-13 | Stock Option Right to Buy | $4.86 | M | 9786 | Disposed | 2014-10-31 | Common Stock (9786) | Direct |
| 2014-08-14 | Stock Option Right to Buy | $4.86 | M | 2714 | Disposed | 2014-10-31 | Common Stock (2714) | Direct |
| 2014-08-15 | Stock Option Right to Buy | $4.86 | M | 1900 | Disposed | 2014-10-31 | Common Stock (1900) | Direct |
Footnotes
F1: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $8.10 to $8.1375 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
F2: The sales price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold, ranging from $8.00 to $8.135 per share. Upon request by the Commission staff, the Issuer, or a security holder of Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
F3: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $8.00 to $8.09 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
F4: This option was granted pursuant to IRIDEX Corporation's incentive 1998 Stock Plan and is exempt pursuant to Rule 16b-3.
F5: Shares subject to the option are fully vested and immediately exercisable.