IRIX

SEC source: 0001704739-18-000056 · edgar.xml · nonDerivative · entry 2

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,800

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.22 to $4.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001704739-18-000052 · edgar.xml · nonDerivative · entry 2

Grove Robert Earle · CIK 0001755510 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,173

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.14 to $4.25, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001704739-18-000057 · edgar.xml · nonDerivative · entry 2

Mokari Atabak · CIK 0001678419 · CFO and VP Corp Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,787

F2 · shares: These shares have been withheld in an exempt disposition to the Issuer under Rule 16b-3(e), to satisfy the Issuer's income tax withholding and remittance obligations in connection with the net settlement of restricted stock units and does not represent a sale by the Reporting Person.

SEC source: 0001704739-18-000052 · edgar.xml · nonDerivative · entry 1

Grove Robert Earle · CIK 0001755510 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.16 to $4.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001704739-18-000050 · edgar.xml · nonDerivative · entry 1

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,800

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.67 to $4.7599, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001704739-18-000057 · edgar.xml · nonDerivative · entry 1

Mokari Atabak · CIK 0001678419 · CFO and VP Corp Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,967

F1 · shares: Reflects shares withheld through November 24, 2018 in exempt dispositions to the Issuer under Rule 16b-3(e), to satisfy the Issuer's income tax withholding and remittance obligations in connection with the net settlement of restricted stock units and does not represent sales by the Reporting Person. Determination of the number of shares withheld was based upon the closing prices of the Issuer's Common Stock on the dates withheld.

F1 · price: Reflects shares withheld through November 24, 2018 in exempt dispositions to the Issuer under Rule 16b-3(e), to satisfy the Issuer's income tax withholding and remittance obligations in connection with the net settlement of restricted stock units and does not represent sales by the Reporting Person. Determination of the number of shares withheld was based upon the closing prices of the Issuer's Common Stock on the dates withheld.

SEC source: 0001704739-18-000056 · edgar.xml · nonDerivative · entry 1

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,800

F1 · shares: Reflects unreported shares withheld through November 24, 2018 in exempt dispositions to the Issuer under Rule 16b-3(e), to satisfy the Issuer's income tax withholding and remittance obligations in connection with the net settlement of restricted stock units and performance-based restricted stock units and does not represent sales by the Reporting Person. Determination of the number of shares withheld was based upon the closing prices of the Issuer's Common Stock on the dates withheld.

F1 · price: Reflects unreported shares withheld through November 24, 2018 in exempt dispositions to the Issuer under Rule 16b-3(e), to satisfy the Issuer's income tax withholding and remittance obligations in connection with the net settlement of restricted stock units and performance-based restricted stock units and does not represent sales by the Reporting Person. Determination of the number of shares withheld was based upon the closing prices of the Issuer's Common Stock on the dates withheld.

F2 · balance_after: Reflects the transfer by the reporting person of 13,538 shares of Common Stock, previously reported as owned directly, to William M. Moore Trust, William M. Moore, Trustee Under Agreement Dated 08/16/2016 & Patricia A. Moore Trust, Patricia A. Moore, Trustee Under Agreement Dated 08/17/2016 Tenants in Common (the "Moore Trust").

SEC source: 0001704739-18-000048 · edgar.xml · derivative · entry 1

Grove Robert Earle · CIK 0001755510 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2025-10-15

F1 · security: This option was granted pursuant to IRIDEX Corporation's 2008 Amended and Restated Equity Incentive Plan and is exempt pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest on November 15, 2018 and each month thereafter.

SEC source: 0001047859-18-000005 · primary_doc.xml · nonDerivative · entry 1

PARAGON ASSOCIATES & PARAGON ASSOCIATES II JOINT VENTURE · CIK 0001047859 · Former 10% shareholder

Paragon JV Partners, LLC · CIK 0001605018 · Former 10% shareholder

Dyer Bradbury III · CIK 0001648748 · Former 10% shareholder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,320,000

F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Paragon JV Partners, LLC ("Paragon GP") or Bradbury Dyer III, the sole and managing member of Paragon GP, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, par value $0.01 per share (the "Common Stock"), of Iridex Corporation (the "Issuer") purchased by Paragon Associates and Paragon Associates II Joint Venture, a joint venture ("Paragon JV") formed by Paragon Associates, Ltd., a Texas limited partnership ("Paragon"), Paragon Associates II, Ltd., a Texas limited partnership ("Paragon II"), and Paragon Associates III, Ltd., a Texas limited partnership ("Paragon III"). Pursuant to Rule 16a-1, both Paragon GP and Mr. Dyer disclaim such beneficial ownership except to the extent of its or his respective pecuniary interest therein.

F2 · ownership.direct: Paragon JV holds 1,320,000 shares of Common Stock of the Issuer through its own account. Paragon GP serves as the general partner to each of Paragon, Paragon II and Paragon III, and as the investment advisor of Paragon JV. Paragon GP receives a portion of the profits in the form of a capital allocation from, and owns a partnership interest in, Paragon, Paragon II and Paragon III. Bradbury Dyer III reports the Common Stock held indirectly by Paragon GP because, as the sole and managing member of Paragon GP at the time of purchase, he controlled the disposition and voting of the securities.

SEC source: 0001704739-18-000043 · edgar.xml · nonDerivative · entry 1

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,800

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.40 to $6.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001704739-18-000040 · edgar.xml · nonDerivative · entry 1

Dizon Romeo R · CIK 0001658282 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,483

F1 · shares: Represents the grant of restricted stock units ("RSUs"). The RSUs vest as to one-third of the shares on July 27, 2019 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001704739-18-000039 · edgar.xml · nonDerivative · entry 1

Mokari Atabak · CIK 0001678419 · CFO and VP Corp Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,800

F1 · shares: Represents the grant of restricted stock units ("RSUs"). The RSUs vest as to one-third of the shares on July 27, 2019 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001704739-18-000037 · edgar.xml · nonDerivative · entry 1

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,800

F1 · shares: Represents the grant of restricted stock units ("RSUs"). The RSUs vest as to one-third of the shares on July 27, 2019 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001704739-18-000031 · edgar.xml · nonDerivative · entry 1

FITCH SANFORD · CIK 0001198927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,887

F1 · shares: The shares were issued pursuant to a restricted stock award which shall vest with respect to 100% of the shares on the earlier of June 13, 2019 or the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001704739-18-000030 · edgar.xml · nonDerivative · entry 2

NAUMANN-ETIENNE RUEDIGER · CIK 0001219636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,668

F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 13, 2019 or the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001704739-18-000030 · edgar.xml · nonDerivative · entry 1

NAUMANN-ETIENNE RUEDIGER · CIK 0001219636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,668

F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 13, 2019 or the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001704739-18-000029 · edgar.xml · nonDerivative · entry 1

Bruce David · CIK 0001373121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,690

F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 13, 2019 or the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001704739-18-000028 · edgar.xml · nonDerivative · entry 1

Sainz Maria · CIK 0001437768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,690

F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 13, 2019 or the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001704739-18-000027 · edgar.xml · nonDerivative · entry 1

RHOADS ANN D · CIK 0001250252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,690

F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 13, 2019 or the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001704739-18-000034 · edgar.xml · nonDerivative · entry 1

FITCH SANFORD · CIK 0001198927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,887

F1 · shares: This footnote is restated from the original Form 4 filing to correctly reflect that each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 100% of the RSUs vest on the earlier of June 13, 2019 or the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001704739-18-000016 · edgar.xml · derivative · entry 6

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt pursuant to Rule 16b-3.

F3 · derivative.exercise_date: 1/12th of the shares vested on 8/1/2011 and each month thereafter

SEC source: 0001704739-18-000016 · edgar.xml · derivative · entry 5

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-07-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt pursuant to Rule 16b-3.

F2 · derivative.exercise_date: 1/12th of the shares vested on 8/2/2012 and each month thereafter

SEC source: 0001704739-18-000016 · edgar.xml · nonDerivative · entry 2

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001704739-18-000016 · edgar.xml · nonDerivative · entry 1

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001704739-18-000013 · edgar.xml · derivative · entry 1

Bruce David · CIK 0001373121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2025-04-13

F1 · security: This option was granted pursuant to IRIDEX Corporation's 2008 Amended and Restated Equity Incentive Plan and is exempt pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest on May 13, 2018 and each month thereafter.

SEC source: 0001704739-18-000009 · edgar.xml · derivative · entry 1

Sainz Maria · CIK 0001437768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2025-04-13

F1 · security: The option was granted pursuant to IRIDEX Corporation's 2008 Amended and Restated Equity Incentive Plan and is exempt pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest on May 13, 2018 and each month thereafter.

SEC source: 0001704739-18-000002 · edgar.xml · nonDerivative · entry 1

Dizon Romeo R · CIK 0001658282 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,483

SEC source: 0001704739-18-000058 · edgar.xml · nonDerivative · entry 1

Dizon Romeo R · CIK 0001658282 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,100

F1 · shares: Reflects shares withheld through January 9, 2018 in exempt dispositions to the Issuer under Rule 16b-3(e), to satisfy the Issuer's income tax withholding and remittance obligations in connection with the net settlement of performance-based restricted stock units and does not represent sales by the Reporting Person. Determination of the number of shares withheld was based upon the closing prices of the Issuer's Common Stock on the dates withheld.

F1 · price: Reflects shares withheld through January 9, 2018 in exempt dispositions to the Issuer under Rule 16b-3(e), to satisfy the Issuer's income tax withholding and remittance obligations in connection with the net settlement of performance-based restricted stock units and does not represent sales by the Reporting Person. Determination of the number of shares withheld was based upon the closing prices of the Issuer's Common Stock on the dates withheld.

F2 · balance_after: The number of securities beneficially owned is as of December 13, 2018.

SEC source: 0001704739-17-000034 · edgar.xml · nonDerivative · entry 1

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 83,944

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.82 to $7.85, inclusive.

SEC source: 0001445866-17-001714 · form4.xml · nonDerivative · entry 1

BlueLine Capital Partners, L.P. · CIK 0001338149 · 10% owner

BlueLine Capital Partners II, L.P. · CIK 0001460781 · 10% owner

BlueLine Capital Partners III, LP · CIK 0001411986 · 10% owner

BlueLine Partners, L.L.C. · CIK 0001311443 · 10% owner

BlueLine Partners II, LLC · CIK 0001411987 · 10% owner

BlueLine Catalyst Fund IX, L.P. · CIK 0001460518 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,138,862

F1 · ownership.direct: These securities were owned by BlueLine Capital Partners III, L.P. On November 21, 2017, BlueLine Capital Partners III, L.P. executed an in-kind distribution, without consideration, of 267,631 shares of the Issuer's common stock to certain of its limited partners. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any Reporting Person is the beneficial owner of any Common Stock covered by this statement.

F2 · ownership.direct: As described in Amendment No. 4 to Schedule 13D ("Amendment No. 4") filed on October 25, 2007 with respect to the securities owned by BlueLine Capital Partners, L.P., BlueLine Capital Partners II, L.P., BlueLine Capital Partners III, L.P., BlueLine Catalyst Fund VIII, L.P., BlueLine Catalyst Fund IX, L.P., BlueLine Partners, L.L.C., and BlueLine Partners II, L.L.C., as of the date of Amendment No. 4, the Reporting Entities may have been deemed to be a "group" under Section 13(d) of the Securities Exchange Act and accordingly each Reporting Entity may have been deemed to have beneficial ownership of 10% or more of the securities. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any Reporting Person is the beneficial owner of any Common Stock covered by this statement.

SEC source: 0001704739-17-000031 · edgar.xml · derivative · entry 2

Marcellino George R · CIK 0001629023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2024-10-25

F2 · security: This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.

F3 · derivative.exercise_date: Shares subject to the option vest over a period of 48 months with 1/4th of the total number of shares vesting on the first anniversary of the grant date and 1/48th of the total number of shares vesting each month thereafter.

SEC source: 0001704739-17-000031 · edgar.xml · nonDerivative · entry 1

Marcellino George R · CIK 0001629023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,590

F1 · shares: RSU for 25,000 shares of the Company's common stock, one quarter of which vests on the one-year anniversary and the remainder of the RSU's vests in equal monthly installments over three years thereafter.

SEC source: 0001704739-17-000028 · edgar.xml · nonDerivative · entry 1

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372,434

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.41 to $9.42, inclusive.

SEC source: 0001704739-17-000025 · edgar.xml · nonDerivative · entry 1

MOORE WILLIAM M · CIK 0001217126 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,634

SEC source: 0001445866-17-001279 · form4.xml · nonDerivative · entry 1

BlueLine Capital Partners, L.P. · CIK 0001338149 · 10% owner

BlueLine Catalyst Fund IX, L.P. · CIK 0001460518 · 10% owner

BlueLine Capital Partners II, L.P. · CIK 0001460781 · 10% owner

BlueLine Capital Partners III, LP · CIK 0001411986 · 10% owner

BlueLine Partners, L.L.C. · CIK 0001311443 · 10% owner

BlueLine Partners II, LLC · CIK 0001411987 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,406,493

F1 · ownership.direct: These securities were owned by BlueLine Capital Partners, L.P. On August 28, 2017, BlueLine Capital Partners, L.P. executed an in-kind distribution, without consideration, of 54,195 shares of the Issuer's common stock to certain of its limited partners.

SEC source: 0001209191-18-027146 · doc4.xml · nonDerivative · entry 3

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,344,720

F3 · price: The shares were purchased in multiple transactions at prices ranging from $8.66 to $8.67 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027146 · doc4.xml · nonDerivative · entry 2

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,344,484

F2 · price: The shares were purchased in multiple transactions at prices ranging from $8.41 to $8.44 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027146 · doc4.xml · nonDerivative · entry 1

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,343,984

F1 · price: The shares were purchased in multiple transactions at prices ranging from $8.38 to $8.47 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 30

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,341,724

F30 · price: The shares were purchased in multiple transactions at prices ranging from $8.52 to $8.56 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 29

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,341,169

F29 · price: The shares were purchased in multiple transactions at prices ranging from $8.44 to $8.50 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 28

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,335,804

F28 · price: The shares were purchased in multiple transactions at prices ranging from $8.38 to $8.61 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 27

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,332,952

F27 · price: The shares were purchased in multiple transactions at prices ranging from $8.50 to $8.66 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 26

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,323,222

F26 · price: The shares were purchased in multiple transactions at prices ranging from $8.10 to $8.37 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 25

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,310,037

F25 · price: The shares were purchased in multiple transactions at prices ranging from $8.21 to $8.25 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 24

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,309,437

F24 · price: The shares were purchased in multiple transactions at prices ranging from $7.84 to $8.50 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 23

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,293,035

F23 · price: The shares were purchased in multiple transactions at prices ranging from $8.60 to $8.78 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 22

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,290,995

F22 · price: The shares were purchased in multiple transactions at prices ranging from $8.69 to $8.83 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 21

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,286,310

F21 · price: The shares were purchased in multiple transactions at prices ranging from $9.06 to $9.21 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001704739-17-000021 · edgar.xml · derivative · entry 1

RHOADS ANN D · CIK 0001250252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2024-07-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This option was granted pursuant to IRIDEX Corporation's 2008 Equity Incentive Plan and is exempt to Rule 16b-3.

F3 · date: Remarks: This Form 4 is amended to correct a clerical error. The transaction date was erroneously reported as July 28, 2017, rather than July 31, 2017.

F2 · derivative.exercise_date: The shares are subject to vesting according to the following schedule: 1/48th of the total number of shares vest each month.

SEC source: 0001209191-18-027145 · doc4.xml · nonDerivative · entry 20

Acuta Capital Fund, LP · CIK 0001601391 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,278,255

F20 · price: The shares were purchased in multiple transactions at prices ranging from $9.34 to $9.53 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.