IRIX Pengajuan SEC - IRIDEX Corporation- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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1006045

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to IRIDEX Corporation

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

August 12, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 28, 2025 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPO
August 12, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 12, 2025 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
August 12, 2025	EX-99.1	IRIDEX Corporation Condensed Consolidated Statements of Operations (In thousands, except per share data) Exhibit 99.1 Iridex Reports Second Quarter 2025 Financial Results MOUNTAIN VIEW, Calif., August 12, 2025 (GLOBE NEWSWIRE) - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today reported financial results for the second quarter ended June
June 13, 2025	S-8	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S‑8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 IRIDEX CORPORATION (Exact name of Registrant as specified in its charter) As filed with the Securities and Exchange Commission on June 13, 2025 Registration No.
June 13, 2025	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 11, 2025 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
June 13, 2025	EX-3.1	Amended and Restated Certificate of Incorporation filed on June 11 2025. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF IRIDEX CORPORATION a Delaware corporation IRIDEX Corporation, a corporation organized and existing under the laws of the State of Delaware (the “Company”), does hereby certify as follows: A. The Company was originally incorporated under the name of Trilogy Medical Systems, Inc, and the original Certificate of Incorporation of the Com
June 13, 2025	EX-10.1	IRIDEX Corporation 2008 Equity Incentive Plan, as amended. Exhibit 10.1 IRIDEX CORPORATION 2008 EQUITY INCENTIVE PLAN (as amended June 11, 2025) 1. Purposes of the Plan. The purposes of this Plan are: • to attract and retain the best available personnel for positions of substantial responsibility, • to provide incentives to individuals who perform services to the Company, and • to promote the success of the Company’s business. The Plan permits the grant o
June 13, 2025	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) IRIDEX Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount to be Registered (1) Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.
June 2, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin
May 30, 2025	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Commission File Number) (I.R.S. Employer Identification Number) 1212 Terra Bella Avenue Mountain View, California 94043 (A
May 30, 2025	EX-1.01	Conflict Minerals Report for the year ended December 31, 2024. Exhibit 1.01 Conflict Minerals Report For the Year Ended December 31, 2024 Introduction This is the Conflict Minerals Report of Iridex Corporation (the “Company”, “Iridex”, “we” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2024 to December 31,
May 22, 2025	EX-4.1	Amendment No. 1 to Investor Rights Agreement, by and between the Registrant and Novel Inspiration International Co., Ltd., executed on May 20, 2025. Exhibit 4.1 AMENDMENT NO. 1 TO INVESTOR RIGHTS AGREEMENT This Amendment No. 1 to Investor Rights Agreement (this “Amendment”), dated as of May 20, 2025 (the “Effective Date”), amends that certain Investor Rights Agreement (the “Rights Agreement”) entered into on March 19, 2025 by Novel Inspiration International Co., Ltd. (“Investor”) and IRIDEX Corporation (the “Company”). Capitalized terms not de
May 22, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 20, 2025 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
May 20, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 14, 2025 Date of Report (date of earliest event reported) IRIDEX CORPORATION (E UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 14, 2025 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Com
May 20, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin
May 20, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 14, 2025 Date of Report (date of earliest event reported) IRIDEX CORPORATION (E UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 14, 2025 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Com
May 13, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 29, 2025 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORP
May 13, 2025	EX-99.1	IRIDEX Corporation Condensed Consolidated Statements of Operations (In thousands, except per share data) Exhibit 99.1 Iridex Reports First Quarter 2025 Financial Results MOUNTAIN VIEW, Calif., May 13, 2025 (GLOBE NEWSWIRE) - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today reported financial results for the first quarter ended March 29,
May 13, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 13, 2025 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
April 28, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State
April 28, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
April 17, 2025	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
April 14, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 14, 2025 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
April 14, 2025	EX-99.1	Iridex Announces Preliminary Operational and Financial Results for the First Quarter 2025 Exhibit 99.1 Iridex Announces Preliminary Operational and Financial Results for the First Quarter 2025 MOUNTAIN VIEW, Calif., April 14, 2025 (GLOBE NEWSWIRE) – Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today announced preliminary una
April 8, 2025	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 7, 2025 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
April 3, 2025	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 2, 2025 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
March 27, 2025	EX-21.1	Subsidiaries of Registrant EXHIBIT 21.1 Subsidiaries of IRIDEX Corporation (as of December 28, 2024) NAME OF SUBSIDIARY COUNTRY OF FORMATION IRIDEX Europe GmbH Germany
March 27, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 28, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number 0-27598 IRIDEX CORPORATI
March 27, 2025	EX-99.1	Iridex Reports Fourth Quarter and Full Year 2024 Financial Results Exhibit 99.1 Iridex Reports Fourth Quarter and Full Year 2024 Financial Results MOUNTAIN VIEW, Calif., March 27, 2025 (GLOBE NEWSWIRE) - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today reported financial results for the fourth quarte
March 27, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 27, 2025 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
March 27, 2025	EX-19.1	Insider Trading Policy Exhibit 19.1 IRIDEX CORPORATION INSIDER TRADING POLICY (March 11, 2025) A. POLICY OVERVIEW IRIDEX Corporation (together with any subsidiaries, collectively the “Company”) has adopted this Insider Trading Policy (the “Policy”) to help you comply with the federal and state securities laws and regulations that govern trading in securities and to help the Company minimize its own legal and reputationa
March 20, 2025	EX-10.5	Offer Letter between the Registrant and Mr. Dizon. Exhibit 10.5 January 1, 2025 Romeo Dizon Email: [email protected] Dear Romeo, I am very pleased to extend to you this employment offer for the position of Chief Financial Officer with IRIDEX Corporation, reporting directly to me. This contingent offer summarizes several elements of the position: Annual Base Salary: $300,000 annual base salary ($11,538.46 bi-weekly) MBO Program: The MBO Program co
March 20, 2025	EX-10.4	Convertible Promissory Note, dated March 19, 2025, by and between the registrant and Novel Inspiration International Co., Ltd. Exhibit 10.4 THIS NOTE AND THE SECURITIES ISSUABLE AS PAYMENT FOR ACCRUED INTEREST OR UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR UNDER THE SECURITIES LAWS OF CERTAIN STATES. THESE SECURITIES MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED EXCEPT AS PERMITTED UNDER THE ACT AND APPLICABLE STATE SECURITIE
March 20, 2025	EX-10.6	Change in Control Severance Agreement between the Registrant and Mr. Dizon. Exhibit 10.6 IRIDEX CORPORATION CHANGE IN CONTROL SEVERANCE AGREEMENT This Amended and Restated Change in Control Severance Agreement (the “Agreement”) is made and entered into by and between Romeo Dizon (“Executive”) and IRIDEX Corporation, a Delaware corporation (the “Company”), effective as of February 3, 2025 (the “Effective Date”). RECITALS Whereas, it is expected that the Company from time t
March 20, 2025	EX-10.3	Form of Convertible Promissory Note. Exhibit 10.3 THIS NOTE AND THE SECURITIES ISSUABLE AS PAYMENT FOR ACCRUED INTEREST OR UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR UNDER THE SECURITIES LAWS OF CERTAIN STATES. THESE SECURITIES MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED EXCEPT AS PERMITTED UNDER THE ACT AND APPLICABLE STATE SECURITIE
March 20, 2025	EX-99.1	Iridex Announces Strategic Investment in the Company Exhibit 99.1 Iridex Announces Strategic Investment in the Company MOUNTAIN VIEW, Calif., March 19, 2025 – Iridex Corporation (NASDAQ: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems and delivery devices for the treatment of glaucoma and retinal diseases, today announced the closing of a strategic investment in the company resulting in $10 million of gross p
March 20, 2025	EX-10.1	Securities Purchase Agreement, dated March 19, 2025 by and between the Registrant and Novel Inspiration Co., Ltd. Exhibit 10.1 securities PURCHASE AGREEMENT by and among IRIDEX Corporation and the parties named herein on Schedule 1, as Purchasers March 19, 2025 This securities PURCHASE AGREEMENT (this “Agreement”) is dated as of March 19, 2025, by and among IRIDEX Corporation, a Delaware corporation (the “Company”), and the purchasers identified on Schedule 1 hereto (each a “Purchaser” and collectively the “P
March 20, 2025	EX-4.1	Investor Rights Agreement, dated March 19, 2025, by and between the Registrant and Novel Inspiration International Co., Ltd. Exhibit 4.1 INVESTOR RIGHTS AGREEMENT This Investor Rights Agreement (this “Agreement”) is made and entered into as of March 19, 2025 by and among IRIDEX Corporation, a Delaware corporation (the “Company”), and the purchaser executing this Agreement and listed on Schedule 1 attached hereto (the “Purchaser”). This Agreement is being entered into pursuant to the Securities Purchase Agreement, dated
March 20, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 16, 2025 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
March 20, 2025	EX-10.2	Note Purchase Agreement, dated March 19, 2025, by and between the Registrant and Novel Inspiration International Co., Ltd. Exhibit 10.2 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of March 19, 2025 (this “Agreement”), is entered into by and among IRIDEX Corporation, a Delaware corporation (the “Company”), and the persons and entities listed on the schedule of investors attached hereto as Schedule I (each an “Investor” and, collectively, the “Investors”). RECITALS A. On the terms and subject to the c
March 20, 2025	EX-3.1	Certificate of Designation, Preferences and Rights of Series B Preferred Stock of Registrant, filed with the Secretary of State of the State of Delaware, March 18, 2025. Exhibit 3.1 CERTIFICATE OF DESIGNATION, PREFERENCES AND RIGHTS OF SERIES B PREFERRED STOCK of iridex corporation Pursuant to Section 151 of the General Corporation Law of the State of Delaware, the undersigned does hereby certify: 1. That the undersigned is the duly elected and acting President and Chief Executive Officer of Iridex Corporation, a Delaware corporation (the “Company”). 2. That pursu
January 14, 2025	EX-99.1	Iridex Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2024 Exhibit 99.1 Iridex Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2024 MOUNTAIN VIEW, Calif., January 14, 2025 – Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems and delivery devices for the treatment of glaucoma and retinal diseases, today announced preliminary unaudited operational and
January 14, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 14, 2025 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
November 26, 2024	8-K/A	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 7, 2024 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorpora
November 26, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 22, 2024 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
November 13, 2024	EX-10.2	Amended and Restated Change in Control Severance Agreement dated as of November 7, 2024, between the Company and Mr. Mercer. EX-10.2 3 irix-ex102.htm EX-10.2 Exhibit 10.2 IRIDEX CORPORATION AMENDED AND RESTATED CHANGE IN CONTROL SEVERANCE AGREEMENT This Amended and Restated Change in Control Severance Agreement (the “Agreement”) is made and entered into by and between Patrick Mercer (“Executive”) and IRIDEX Corporation, a Delaware corporation (the “Company”), effective as of October 30, 2024 (the “Effective Date”). RECI
November 13, 2024	EX-10.1	Separation and Release Agreement dated as of November 11, 2024, between the Company and Mr. Bruce. EX-10.1 2 irix-ex101.htm EX-10.1 Exhibit 10.1 SEPARATION AND RELEASE AGREEMENT This Separation and Release Agreement (“Agreement”) is entered into by and between IRIDEX CORPORATION (defined to include its related organizations, foundations, subsidiaries, predecessors, successors, assigns, affiliates, and their respective officers, employees, ex-employees, and representatives and hereinafter referr
November 13, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 7, 2024 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
November 12, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 12, 2024 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
November 12, 2024	EX-99.1	Iridex Reports Third Quarter 2024 Financial Results Exhibit 99.1 Iridex Reports Third Quarter 2024 Financial Results MOUNTAIN VIEW, Calif., November 12, 2024 - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today reported financial results for the third quarter ended September 28, 2024. Th
November 12, 2024	EX-4.1	Senior Convertible Promissory Note, dated August 7, 2024, by and between the Registrant and Lind Global Asset Management IX LLC. Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR PURSUANT TO AN AVAILABL
November 12, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 28, 2024 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX
October 3, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 1, 2024 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
October 3, 2024	EX-99.1	Iridex Appoints Patrick Mercer as Chief Executive Officer Exhibit 99.1 Iridex Appoints Patrick Mercer as Chief Executive Officer MOUNTAIN VIEW, Calif., October 3, 2024 (GLOBE NEWSWIRE) - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today announced the appointment of Patrick Mercer as the Compa
September 25, 2024	424B3	IRIDEX Corporation 4,952,823 Shares Common Stock Offered by the Selling Stockholder 424B3 1 424b3sept20.htm 424B3 Filed Pursuant to Rule 424(b)(3) Registration No. 333-281947 Prospectus IRIDEX Corporation 4,952,823 Shares Common Stock Offered by the Selling Stockholder This prospectus relates to the resale or other disposition from time to time in one or more offerings of up to 4,952,823 shares of our common stock, par value $0.01, by the selling stockholder named herein or their
September 20, 2024	CORRESP	IRIDEX Corporation 1212 Terra Bella Avenue Mountain View, CA 94043 September 20, 2024 IRIDEX Corporation 1212 Terra Bella Avenue Mountain View, CA 94043 September 20, 2024 VIA EDGAR U.
September 6, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 5, 2024 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
September 5, 2024	S-3	As filed with the Securities and Exchange Commission on September 5, 2024 As filed with the Securities and Exchange Commission on September 5, 2024 Registration No.
September 5, 2024	EX-FILING FEES	Filing Fee Table. Exhibit 107.1 Calculation of Filing Fee Tables Form S-3 (Form Type) IRIDEX Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(2) Fee Rate Amount of Registration Fee Equity Common Stock, par va
August 8, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 7, 2024 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
August 8, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 29, 2024 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPO
August 8, 2024	EX-99.1	Iridex Reports Second Quarter 2024 Financial Results Exhibit 99.1 Iridex Reports Second Quarter 2024 Financial Results MOUNTAIN VIEW, Calif., August 8, 2024 - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today reported financial results for the second quarter ended June 29, 2024, and prov
August 5, 2024	EX-99.1	Iridex Announces Convertible Note Financing Exhibit 99.1 Iridex Announces Convertible Note Financing Exhibit 99.1 MOUNTAIN VIEW, Calif., August 5, 2024 - IRIDEX Corporation (“Iridex”, or the “Company”) (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today announced it has executed definitive agreements related to
August 5, 2024	EX-10.1	Form of Note (included in Exhibit 4.2). SECURITIES PURCHASE AGREEMENT Exhibit 10.1 This Securities Purchase Agreement (as amended, supplemented, restated and/or modified from time to time, this “Agreement”) is entered into as of August 4, 2024, by and between IRIDEX Corporation, a Delaware corporation (the “Company”), and Lind Global Asset Management IX LLC, a Delaware limited liability company (the “Investor”). BACKGROUND A. The board
August 5, 2024	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 4, 2024 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
July 3, 2024	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 27, 2024 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
June 21, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 18, 2024 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
May 31, 2024	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT IRIDEX CORPORATION (Exact name of registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation) (Commission file number) (I.R.S. Employer Identification No.) 1212 Terra Bella Avenue Mountain View, California 94043 (Address of principal
May 31, 2024	EX-1.01	Conflict Minerals Report for the year ended December 31, 2023. Exhibit 1.01 Conflict Minerals Report For the Year Ended December 31, 2023 Introduction This is the Conflict Minerals Report of Iridex Corporation (the “Company”, “Iridex”, “we” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2023 to December 31,
May 24, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 22, 2024 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
May 14, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 14, 2024 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
May 14, 2024	EX-99.1	Iridex Reports First Quarter 2024 Financial Results Exhibit 99.1 Iridex Reports First Quarter 2024 Financial Results MOUNTAIN VIEW, Calif., May 14, 2024 - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today reported financial results for the first quarter ended March 30, 2024, and provide
May 14, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 30, 2024 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORP
April 29, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A ________________ PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
April 29, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A ________________ PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State
March 29, 2024	EX-3.1	Amended and Restated Certificate of Incorporation of EXHIBIT 3.1 STATE OF DELAWARE SECRETARY OF STATE DIVISION OF CORPORATIONS FILED 12: 30 PM 02/22/1996 960050834 - 2563599 IRIDEX CORPORATION AMENDED AND RESTATED CERTIFICATE OF INCORPORATION IRIDEX Corporation, a corporation organized and existing under the laws of the State of Delaware (the "Corporation"), hereby certifies that A. The name of this Corporation is IRIDEX Corporation, originally inco
March 29, 2024	EX-21.1	Subsidiaries of Registrant EXHIBIT 21.1 Subsidiaries of IRIDEX Corporation (as of December 30, 2023) NAME OF SUBSIDIARY COUNTRY OF FORMATION IRIDEX Europe GmbH Germany
March 29, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number 0-27598 IRIDEX CORPORATI
March 29, 2024	EX-97.1	Compensation Recovery Policy of Registrant as adopted on November 20, 2023. EXHIBIT 97.1 IRIDEX CORPORATION COMPENSATION RECOVERY POLICY As adopted on November 20, 2023 IRIDEX Corporation (the “Company”) is committed to strong corporate governance. As part of this commitment, the Company’s Nominating and Governance Committee has recommended adoption of and the Board of Directors (the “Board”) has adopted this clawback policy called the Compensation Recovery Policy (the “P
March 26, 2024	EX-99.1	Iridex Reports Fourth Quarter and Full Year 2023 Financial Results Advances strategic review to unlock shareholder value Exhibit 99.1 Iridex Reports Fourth Quarter and Full Year 2023 Financial Results Advances strategic review to unlock shareholder value MOUNTAIN VIEW, Calif., March 26, 2024 - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today reported fi
March 26, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 26, 2024 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
November 28, 2023	EX-99.1	Iridex Corporation Announces Successful Appeal for Revision of Recent Medicare LCDs to Provide Broader Coverage of Cyclophotocoagulation Exhibit 99.1 Iridex Corporation Announces Successful Appeal for Revision of Recent Medicare LCDs to Provide Broader Coverage of Cyclophotocoagulation MOUNTAIN VIEW, Calif., November 27, 2023 - Iridex Corporation (NASDAQ: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases
November 28, 2023	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 27, 2023 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization
November 20, 2023	EX-10.2	Third Amendment to Triple Net Lease by and between ZIC 1212 Terra Bella LLC and the Registrant, dated on September 21, 2023. Exhibit 10.2 THIRD AMENDMENT TO LEASE THIS THIRD AMENDMENT TO LEASE (this “Amendment”) is dated for reference purposes only as of September 21, 2023, and is entered into by and between ZIC 1212 Terra Bella LLC, a Delaware limited liability company (“Lessor”), and IRIDEX CORPORATION, a Delaware corporation (“Lessee”), with regard to the following facts: RECITALS A. Lessor and Lessee are parties to
November 20, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX
November 20, 2023	EX-10.1	Second Amendment to Triple Net Lease by and between ZIC 1212 Terra Bella LLC and the Registrant, dated on August 29, 2022. Exhibit 10.1 SECOND AMENDMENT TO LEASE THIS SECOND AMENDMENT TO LEASE (this “Amendment”) is dated for reference purposes only as of August 29, 2022, and is entered into by and between ZIC 1212 Terra Bella LLC, a Delaware limited liability company (“Lessor”), and IRIDEX CORPORATION, a Delaware corporation (“Lessee”), with regard to the following facts: RECITALS A. Lessor and Lessee are parties to t
November 14, 2023	EX-99.1	Iridex Reports Third Quarter 2023 Financial Results and Business Update Exhibit 99.1 Iridex Reports Third Quarter 2023 Financial Results and Business Update MOUNTAIN VIEW, Calif., November 14, 2023 - Iridex Corporation (Nasdaq: IRIX), a worldwide leader providing innovative and versatile laser-based medical systems, delivery devices, and procedure probes for the treatment of glaucoma and retinal diseases, today reported financial results for the third quarter ended Se
November 14, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 14, 2023 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization
November 14, 2023	NT 10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2023 ☐ T SEC File Number: 000-27598 CUSIP Number: 462684101 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 7, 2023	EX-99.1	GRANTED IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE Exhibit 99.1 GRANTED IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE In re IRIDEX CORP. ) C.A. No. 2023- ) [PROPOSED] ORDER GRANTING PETITION FOR RELIEF PURSUANT TO 8 DEL. C. § 205 WHEREAS, on February 22, 1996, Petitioner IRIDEX Corporation (the “Company”), filed its Amended and Restated Certificate of Incorporation (the “Operative Charter”) with the Delaware Secretary of State; WHEREAS, in rel
November 7, 2023	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 1, 2023 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of Employer incorporation or organ
November 1, 2023	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 30, 2023 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of Employer incorporation or organ
October 18, 2023	EX-99.1	IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE Exhibit 99.1 IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE In re IRIDEX CORP. ) C.A. No. 2023 ) VERIFIED PETITION FOR RELIEF PURSUANT TO 8 DEL. C. § 205 Petitioner IRIDEX Corporation (“IRIDEX” or the “Company”), by and through its undersigned counsel, petitions the Court pursuant to 8 Del. C. § 205 as follows: NATURE OF THE ACTION 1. IRIDEX seeks a declaration that its Amended and Restated Cer
October 18, 2023	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 18, 2023 Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of Employer incorporation or organ
August 10, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 1, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPOR
August 10, 2023	EX-99.1	IRIDEX Corporation Condensed Consolidated Statements of Operations (In thousands, except per share data) Exhibit 99.1 Iridex Reports Second Quarter 2023 Financial Results MOUNTAIN VIEW, Calif., August 10, 2023 - Iridex Corporation (Nasdaq: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, today reported financial results for the second quarter ended July 1, 2023. Second Quarter 2023 Highlights • Generated total revenue of $12.9
August 10, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 10, 2023 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
June 28, 2023	S-8	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S‑8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 IRIDEX CORPORATION (Exact name of Registrant as specified in its charter) As filed with the Securities and Exchange Commission on June 28, 2023 Registration No.
June 28, 2023	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) IRIDEX Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount to be Registered (1) Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.
June 15, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 14, 2023 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
June 15, 2023	EX-10.1	2008 Equity Incentive Plan, as amended. Exhibit 10.1 IRIDEX CORPORATION 2008 EQUITY INCENTIVE PLAN (as amended June 14, 2023) 1. Purposes of the Plan. The purposes of this Plan are: • to attract and retain the best available personnel for positions of substantial responsibility, • to provide incentives to individuals who perform services to the Company, and • to promote the success of the Company’s business. The Plan permits the grant o
May 30, 2023	EX-1.01	Conflict Minerals Report for the year ended December 31, 2022. Exhibit 1.01 Conflict Minerals Report For the Year Ended December 31, 2022 Introduction This is the Conflict Minerals Report of Iridex Corporation (the “Company”, “Iridex”, “we” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2022 to December 31,
May 30, 2023	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT IRIDEX CORPORATION (Exact name of registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation) (Commission file number) (I.R.S. Employer Identification No.) 1212 Terra Bella Avenue Mountain View, California 94043 (Address of principal
May 24, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A ________________ PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi
May 11, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 11, 2023 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
May 11, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 1, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPO
May 11, 2023	EX-99.1	IRIDEX Corporation Condensed Consolidated Statements of Operations (In thousands, except per share data) Exhibit 99.1 Iridex Reports First Quarter 2023 Financial Results MOUNTAIN VIEW, Calif., May 11, 2023 - Iridex Corporation (Nasdaq: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, today reported financial results for the first quarter ended April 1, 2023. First Quarter 2023 Highlights • Generated total revenue of $13.7 mill
April 28, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A ________________ PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State
April 28, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A ________________ PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
April 7, 2023	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A ________________ PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
March 9, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 9, 2023 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
March 9, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITY EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITY EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number 0-27598 IRIDEX CORPORATION (
March 9, 2023	EX-99	IRIDEX Corporation Condensed Consolidated Statements of Operations (In thousands, except per share data) Exhibit 99.1 Iridex Reports Fourth Quarter and Full Year 2022 Financial Results Achieves Record Quarterly Glaucoma Probe Sales and 6% Full Year Revenue Growth MOUNTAIN VIEW, Calif., March 9, 2023 - Iridex Corporation (Nasdaq: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, today reported financial results for the fourth qu
January 10, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 10, 2023 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
January 10, 2023	EX-99.1	Iridex Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2022 Achieves Record Quarterly Glaucoma Probe sales and 6% Full Year Revenue Growth Exhibit 99.1 Iridex Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2022 Achieves Record Quarterly Glaucoma Probe sales and 6% Full Year Revenue Growth MOUNTAIN VIEW, Calif., January 10, 2023 - Iridex Corporation (Nasdaq: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, today provide
November 23, 2022	EX-99.1	JOINT FILING AGREEMENT EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including any and all amendments thereto) with respect to the securities of Iridex Corporation, and further agree that this Joint Filing Agreement shall be included as an Exhib
November 23, 2022	SC 13D	IRIX / IRIDEX Corporation / PARAGON ASSOCIATES & PARAGON ASSOCIATES II JOINT VENTURE - SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 IRIDEX CORPORATION (NAME OF ISSUER) Shares of Common Stock, $0.01 par value (Title of Class of Securities) 462684101 (CUSIP NUMBER) Paragon Associates and Paragon Associates II Joint Venture 500 Crescent Court, Suite 260 Dallas, Texas 75201 Tel. No.: (214) 871-3700 (Name,
November 10, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 10, 2022 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization
November 10, 2022	EX-99.1	IRIDEX Corporation Condensed Consolidated Statements of Operations (In thousands, except per share data) Exhibit 99.1 Iridex Announces Record Third Quarter 2022 Financial Results Company Announces FDA Clearance of new Iridex Pascal? Scanning Laser Platform MOUNTAIN VIEW, Calif., November 10, 2022 - Iridex Corporation (Nasdaq: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, today reported financial results for the third quarte
November 10, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended October 1, 2022 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX COR
September 20, 2022	EX-99.A	Joint Filing Agreement Exhibit A EXHIBIT A Joint Filing Agreement The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements.
September 20, 2022	SC 13D	IRIX / IRIDEX Corporation / Roland Brent Alexander - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* IRIDEX CORPORATION (Name of Issuer) Common Stock (par value $0.01/share) (Title of Class of Securities) 462684101 (CUSIP Number) Brent Alexander Roland 7605 N Shadow Mountain Road, Paradise Valley, AZ, 85253 480-290-1587 (Name, Address and Telephone Numbe
August 15, 2022	EX-99.1	Iridex Announces Second Quarter 2022 Financial Results Exhibit 99.1 Iridex Announces Second Quarter 2022 Financial Results MOUNTAIN VIEW, Calif., August 15, 2022 - Iridex Corporation (Nasdaq: IRIX) today reported financial results for the second quarter ended July 2, 2022. Second Quarter 2022 Highlights ? Total revenue of $13.8 million, an increase of 2% over the prior year period o Gross Margin was 45.6% compared to 45.5% in the prior year period ? C
August 15, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 15, 2022 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
August 15, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 2, 2022 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPOR
August 15, 2022	EX-10.1	Fourth Amendment to Loan and Security Agreement between IRIDEX Corporation and Silicon Valley Bank, executed on March 24, 2022. Exhibit 10.1 FOURTH Amendment to Loan and security agreement THIS FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?) is entered into this 24th day of March, 2022, by and between SILICON VALLEY BANK, a California corporation (?Bank?), and IRIDEX CORPORATION, a Delaware corporation (?Borrower?). Recitals A. Bank and Borrower have entered into that certain Loan and Security Agreement
August 15, 2022	EX-10.2	Fifth Amendment to Loan and Security Agreement between IRIDEX Corporation and Silicon Valley Bank, executed on June 15, 2022. Exhibit 10.2 FIFTH Amendment to Loan and security agreement THIS FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?) is entered into this 15th day of June, 2022, by and between SILICON VALLEY BANK, a California corporation (?Bank?), and IRIDEX CORPORATION, a Delaware corporation (?Borrower?). Recitals A. Bank and Borrower have entered into that certain Loan and Security Agreement dat
June 16, 2022	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 15, 2022 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
May 26, 2022	EX-1.01	Conflict Minerals Report for the year ended December 31, 2021. EX-1.01 2 irix-ex10138.htm EX-1.01 Exhibit 1.01 Conflict Minerals Report For the Year Ended December 31, 2021 Introduction This is the Conflict Minerals Report of Iridex Corporation (the “Company”, “Iridex”, “we” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period f
May 26, 2022	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM SD Specialized Disclosure Report IRIDEX CORPORATION (Exact name of registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM SD Specialized Disclosure Report IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.
May 12, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 12, 2022 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
May 12, 2022	EX-99.1	Iridex Announces First Quarter 2022 Financial Results Achieved Record First Quarter Revenue Exhibit 99.1 Iridex Announces First Quarter 2022 Financial Results Achieved Record First Quarter Revenue MOUNTAIN VIEW, Calif., May 12, 2022 - Iridex Corporation (Nasdaq: IRIX) today reported financial results for the first quarter ended April 2, 2022. First Quarter 2022 Highlights ? Record first quarter revenue of $13.4 million, an increase of 12% from the prior year period ? Cyclo G6? product fa
May 12, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 2, 2022 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPO
April 29, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
April 29, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
April 21, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 20, 2022 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
March 21, 2022	EX-99.1	Iridex Announces the Appointment of Beverly Huss to its Board of Directors Exhibit 99.1 Iridex Announces the Appointment of Beverly Huss to its Board of Directors MOUNTAIN VIEW, Calif., March 21, 2022 - Iridex Corporation (Nasdaq: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, today announced the appointment of Beverly Huss to its board of directors, effective, March 17, 2022. In connection with
March 21, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 21, 2022 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
March 15, 2022	EX-10.2	Form of Indemnification Agreement with directors and officers. Exhibit 10.2 IRIDEX CORPORATION INDEMNIFICATION AGREEMENT This Indemnification Agreement (?Agreement?) is entered into effective as of [insert date], by and between IRIDEX Corporation, a Delaware corporation (the ?Company?) and [insert name of indemnitee] (?Indemnitee?). RECITALS A.The Company and Indemnitee recognize the continued difficulty in obtaining liability insurance for its directors, off
March 15, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITY EXCHANGE ACT OF 1934 For the fiscal year ended January 1, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITY EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number 0-27598 IRIDEX CORPORATION (Ex
March 10, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 10, 2022 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
March 10, 2022	EX-99.1	Iridex Announces Fourth Quarter and Full Year 2021 Financial Results Exceeds Prior Guidance with Record Fourth Quarter Revenue and 48% Full Year Revenue Growth Exhibit 99.1 Iridex Announces Fourth Quarter and Full Year 2021 Financial Results Exceeds Prior Guidance with Record Fourth Quarter Revenue and 48% Full Year Revenue Growth MOUNTAIN VIEW, Calif., March 10, 2022 - Iridex Corporation (Nasdaq: IRIX) today reported financial results for the fourth quarter and year ended January 1, 2022. Fourth Quarter Highlights ? Total revenue of $15.3 million, a new
February 10, 2022	SC 13G/A	IRIX / IRIDEX Corporation / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: IRIDEX Corp. Title of Class of Securities: Common Stock CUSIP Number: 462684101 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 1
January 11, 2022	EX-99.1	Iridex Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2021 Exceeds Prior Guidance with Record Quarterly Revenue and nearly 50% Full Year Revenue Growth Exhibit 99.1 Iridex Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2021 Exceeds Prior Guidance with Record Quarterly Revenue and nearly 50% Full Year Revenue Growth MOUNTAIN VIEW, Calif., January 11, 2022 - Iridex Corporation (Nasdaq: IRIX) today provided preliminary unaudited operational and financial results for the fourth quarter and full year ended Jan
January 11, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 11, 2022 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
November 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended October 2, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX COR
November 12, 2021	EX-99.1	Iridex Announces Third Quarter 2021 Financial Results Achieved 51% Year-over-Year Revenue Growth and Raises 2021 Revenue Guidance Exhibit 99.1 Iridex Announces Third Quarter 2021 Financial Results Achieved 51% Year-over-Year Revenue Growth and Raises 2021 Revenue Guidance MOUNTAIN VIEW, Calif., November 11, 2021 - Iridex Corporation (Nasdaq: IRIX) today reported financial results for the third quarter ended October 2, 2021. Third Quarter Highlights ? Revenue of $13.3 million, an increase of 51% from the prior year period, an
November 12, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 11, 2021 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
September 1, 2021	SC 13D/A	IRIX / IRIDEX Corporation / PARAGON ASSOCIATES & PARAGON ASSOCIATES II JOINT VENTURE Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) (Amendment No. 7) Under the Securities Exchange Act of 1934 Iridex Corporation (NAME OF ISSUER) Shares of Common Stock, $0.01 par value (Title of Class of Securities) 462684101 (CUSIP NUMBER) Paragon Associates and Paragon Associates II Joint Venture 500 Crescent Court, Suite 260 Dallas, Texas 75201 Tel. No.: (
August 12, 2021	EX-10.1	First Amendment to Triple Net Lease by and between ZIC 1212 Terra Bella LLC and the Registrant, executed on April 30, 2021. Exhibit 10.1 FIRST AMENDMENT TO LEASE THIS FIRST AMENDMENT TO LEASE (this ?Amendment?) is dated for reference purposes only as of April 30, 2021, and is entered into by and between ZIC 1212 Terra Bella LLC, a Delaware limited liability company (?Lessor?), and IRIDEX CORPORATION, a Delaware corporation (?Lessee?), with regard to the following facts: RECITALS A.Lessor and Lessee are parties to that
August 12, 2021	EX-99.1	Iridex Announces Second Quarter 2021 Financial Results Achieved 116% Year-over-Year Revenue Growth and Record Cyclo G6 Probe Sales Increases Full Year 2021 Guidance Exhibit 99.1 Iridex Announces Second Quarter 2021 Financial Results Achieved 116% Year-over-Year Revenue Growth and Record Cyclo G6 Probe Sales Increases Full Year 2021 Guidance MOUNTAIN VIEW, Calif., August 12, 2021 - Iridex Corporation (Nasdaq: IRIX) today reported financial results for the second quarter ended July 3, 2021. Second Quarter Highlights ? Revenue of $13.4 million, highest since 200
August 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 3, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPOR
August 12, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8?K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 12, 2021 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (C
July 27, 2021	424B3	IRIDEX CORPORATION 1,618,122 Shares of Common Stock Table of Contents Filled Pursuant to Rule 424(b)(3) Registration No. 333-257807 PROSPECTUS IRIDEX CORPORATION 1,618,122 Shares of Common Stock The selling stockholder identified in this prospectus or their transferees or other successors-in-interest identified in a prospectus supplement (the ?Selling Stockholders?) may sell or otherwise dispose of up to 1,618,122 shares of our common stock, par va
July 23, 2021	CORRESP	July 23, 2021 July 23, 2021 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3720 Attention: Lauren S. Hamill Re: IRIDEX Corporation Registration Statement on Form S-3 Filed July 9, 2021 File No. 333-257807 Acceleration Request Requested Date: July 27, 2021 Requested Time: 4:00 PM Eastern Time Ladies and Gentlemen: Pursuant to Rule 461 u
July 9, 2021	S-3	As filed with the Securities and Exchange Commission on July 9, 2021 Table of Contents As filed with the Securities and Exchange Commission on July 9, 2021 Registration No.
July 9, 2021	S-8	As filed with the Securities and Exchange Commission on July 9, 2021. As filed with the Securities and Exchange Commission on July 9, 2021. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under The Securities Act of 1933 IRIDEX CORPORATION (Exact name of Registrant as specified in its charter) Delaware 77-0210467 (State of incorporation) (I.R.S. Employer Identification No.) 1212 Terra Bella Avenue Mount
July 2, 2021	SC 13D/A	IRIX / IRIDEX Corporation / PARAGON ASSOCIATES & PARAGON ASSOCIATES II JOINT VENTURE Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) (Amendment No. 6) Under the Securities Exchange Act of 1934 Iridex Corporation (NAME OF ISSUER) Shares of Common Stock, $0.01 par value (Title of Class of Securities) 462684101 (CUSIP NUMBER) Paragon Associates and Paragon Associates II Joint Venture 500 Crescent Court, Suite 260 Dallas, Texas 75201 Tel. No.: (
June 29, 2021	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8?K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 26, 2021 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Com
June 21, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8?K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 16, 2021 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Com
June 21, 2021	SC 13D/A	IRIX / IRIDEX Corporation / BlueLine Capital Partners, L.P. - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No 1.)* Iridex Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 462684101 (CUSIP Number) Scott A Shuda BlueLine Partners 3480 Buskirk Ave, Suite 215 Pleasant Hill, CA 94523 (Name, Address and Telephone Number of Person Authorized to Recei
June 1, 2021	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM SD Specialized Disclosure Report IRIDEX CORPORATION (Exact name of registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM SD Specialized Disclosure Report IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.
June 1, 2021	EX-1.01	Conflict Minerals Report for the year ended December 31, 2020. EX-1.01 2 irix-ex1016.htm EX-1.01 Exhibit 1.01 Conflict Minerals Report For the Year Ended December 31, 2020 Introduction This is the Conflict Minerals Report of Iridex Corporation (the “Company”, “Iridex”, “we” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period fr
May 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 3, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPO
May 11, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8?K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 11, 2021 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Comm
May 11, 2021	EX-99.1	Iridex Announces First Quarter 2021 Financial Results Exhibit 99.1 Iridex Announces First Quarter 2021 Financial Results MOUNTAIN VIEW, Calif., May 11, 2021 - Iridex Corporation (Nasdaq: IRIX) today reported financial results for the first quarter ended April 3, 2021. First Quarter Highlights ? Closed strategic collaboration with Topcon Corporation netting $19.5 million in new funds ? Record first quarter revenue of $12.0 million, an increase of 33%
April 30, 2021	DEFA14A	- DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
April 30, 2021	DEF 14A	2008 Equity Incentive Plan, as amended. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
April 13, 2021	SC 13D/A	SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) (Amendment No. 5) Under the Securities Exchange Act of 1934 Iridex Corporation _____________________________________________________________________________ (NAME SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) (Amendment No. 5) Under the Securities Exchange Act of 1934 Iridex Corporation (NAME OF ISSUER) Shares of Common Stock, $0.01 par value (Title of Class of Securities) 462684101 (CUSIP NUMBER) Paragon Associates and Paragon Associates II Joint Venture 500 Crescent Court, Suite 260 Dallas, Texas 75201 Tel. No.: (
March 23, 2021	EX-10.19.3	Third Amendment to Loan and Security Agreement between IRIDEX Corporation and Silicon Valley Bank, executed on December 31, 2020. Exhibit 10.19.3 THIRD Amendment to Loan and security agreement THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?) is entered into this 31st day of December, 2020, by and between SILICON VALLEY BANK, a California corporation (?Bank?), and IRIDEX CORPORATION, a Delaware corporation (?Borrower?). Recitals A.Bank and Borrower have entered into that certain Loan and Security Agreeme
March 23, 2021	SC 13D	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* IRIDEX Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* IRIDEX Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 462684101 (CUSIP Number) Randy Samuels Topcon America Corporation 111 Bauer Drive Oakland, NJ 07436 (Name, Address and Telephone Number of Pe
March 23, 2021	10-K	Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITY EXCHANGE ACT OF 1934 For the fiscal year ended January 2, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITY EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number 0-27598 IRIDEX CORPORATION (Ex
March 23, 2021	EX-99.1	JOINT FILING AGREEMENT EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of them of a Statement on Schedule 13D and any and all amendments thereto, with respect to the above referenced securities and that this Agreement be included as an Exhibit to such filing. This Agreement may b
March 22, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 16, 2021 Date of Report (Date of earliest event reported) IRIDEX CORPORATION (Exact name of Registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Com
March 22, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8?K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 22, 2021 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
March 22, 2021	EX-99.1	Iridex Announces Fourth Quarter and Full Year 2020 Financial Results Exhibit 99.1 Iridex Announces Fourth Quarter and Full Year 2020 Financial Results MOUNTAIN VIEW, Calif., March 22, 2021 - Iridex Corporation (Nasdaq: IRIX) today reported financial results for the fourth quarter and year ended January 2, 2021. Fourth Quarter Highlights • Total revenue in the fourth quarter increased 5% to $12.3 million year-over-year • Sold 13,500 Cyclo G6® probes, same as the pri
March 10, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 irix-8k20210310.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 10, 2021 Date of Report (Date of earliest event reported) IRIDEX CORPORATION (Exact name of Registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incor
March 10, 2021	EX-99.1	Iridex Completes Transaction with Topcon Corporation Exhibit 99.1 For Immediate Release Iridex Completes Transaction with Topcon Corporation Mountain View, CA — March 10, 2021 — Iridex Corporation (NASDAQ: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, announced today that it has completed the previously announced transaction with Topcon Corporation. Under the terms of the
March 4, 2021	8-K/A	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A (Amendment No. 1) Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 2, 2021 Date of Report (Date of earliest event reported) IRIDEX CORPORATION (Exact name of Registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or
March 4, 2021	EX-10.1	Asset Purchase Agreement dated as of March 2, 2021, among the Company, Topcon Medical Laser Systems, Inc. and Topcon America Corporation. CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED.
March 4, 2021	EX-99.1	Iridex Announces Strategic Collaboration with Topcon Corporation For Immediate Release Iridex Announces Strategic Collaboration with Topcon Corporation • Transaction provides $19.
March 4, 2021	EX-10.2	Distribution Agreement dated as of March 2, 2021, by and between the Company and Topcon Corporation. Exhibit 10.2 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. [***] INDICATES THAT INFORMATION HAS BEEN REDACTED. DISTRIBUTION AGREEMENT This Distribution Agreement (this ?Agreement?) is entered into as of March 2, 2021 by and between Iridex Corporation, a Delaware corporat
March 4, 2021	EX-10.3	Investment Agreement dated as of March 2, 2021, by and between the Company and Topcon America Corporation. Exhibit 10.3 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. [***] INDICATES THAT INFORMATION HAS BEEN REDACTED. Investment Agreement This Investment Agreement (this ?Agreement?) is dated as of March 2, 2021, by and between IRIDEX Corporation, a company duly incorporated a
March 4, 2021	EX-10.4	Registration Rights Agreement dated as of March 2, 2021, by and between the Company and Topcon America Corporation. REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is dated as of March 2, 2021 by and between IRIDEX Corporation, a company duly incorporated and existing under the laws of the State of Delaware (the ?Company?), and Topcon America Corporation, a company duly incorporated and existing under the laws of the State of Delaware (the ?Investor?).
March 4, 2021	EX-99.2	Forward Looking Statements This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 and the Private Securities Litigation Reform Act o Strategic Collaboration Overview March 2021 Exhibit 99.2 Forward Looking Statements This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 and the Private Securities Litigation Reform Act of 1995. These statements include statements made about the transactions described therein. Su
March 2, 2021	EX-10.4	Registration Rights Agreement REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is dated as of March 2, 2021 by and between IRIDEX Corporation, a company duly incorporated and existing under the laws of the State of Delaware (the ?Company?), and Topcon America Corporation, a company duly incorporated and existing under the laws of the State of Delaware (the ?Investor?).
March 2, 2021	EX-10.3	Investment Agreement Investment Agreement This Investment Agreement (this ?Agreement?) is dated as of March 2, 2021, by and between IRIDEX Corporation, a company duly incorporated and existing under the laws of the State of Delaware (the ?Company?), and Topcon America Corporation, a company duly incorporated and existing under the laws of the State of Delaware (the ?Investor?).
March 2, 2021	EX-10.1	Asset Purchase Agreement CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED.
March 2, 2021	EX-99.2	Forward Looking Statements This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 and the Private Securities Litigation Reform Act o EX-99.2 7 irix-ex99228.htm EX-99.2 Strategic Collaboration Overview March 2021 Exhibit 99.2 Forward Looking Statements This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 and the Private Securities Litigation Reform Act of 1995. These statements include statements made about the
March 2, 2021	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 2, 2021 Date of Report (Date of earliest event reported) IRIDEX CORPORATION (Exact name of Registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Comm
March 2, 2021	EX-10.2	Distribution Agreement DISTRIBUTION AGREEMENT This Distribution Agreement (this ?Agreement?) is entered into as of March 2, 2021 by and between Iridex Corporation, a Delaware corporation with its principal place of business at 1212 Terra Bella Avenue, Mountain View, California 94043, United States (?Iridex?), and Topcon Corporation, a corporation organized under the laws of Japan with its principal place of business at 75-1 Hasunuma-cho, Itabashi-ku, Tokyo, Japan, 174-8580 (?Topcon?).
March 2, 2021	EX-99.1	Iridex Announces Strategic Collaboration with Topcon Corporation For Immediate Release Iridex Announces Strategic Collaboration with Topcon Corporation ? Transaction provides $19.
February 16, 2021	SC 13G/A	fSCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* IRIDEX CORPORATION (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this S SC 13G/A fSCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* IRIDEX CORPORATION (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 462684101 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☐ Rule 13d-1(b) ☒ Rule 13d-1(c)
February 16, 2021	EX-99.1	JOINT FILING AGREEMENT EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of February 16, 2020 is by and among North Tide Capital Master, LP, North Tide Capital GP, LLC, North Tide Capital, LP, North Tide Capital, LLC and Conan Laughlin (the foregoing are collectively referred to herein as the “Filers”). Each of the Filers may be required to file with the United States Securities and Excha
February 10, 2021	SC 13G/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: IRIDEX Corp. Title of Class of Securities: Common Stock CUSIP Number: 462684101 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 1
February 4, 2021	SC 13G/A	UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Iridex Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 462684101 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule
January 11, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 11, 2021 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
January 11, 2021	EX-99.1	IRIDEX Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2020 Exhibit 99.1 IRIDEX Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2020 MOUNTAIN VIEW, Calif., January 11, 2021 - IRIDEX Corporation (Nasdaq: IRIX) today provided preliminary unaudited operational and financial results for the fourth quarter and full year ended January 2, 2021. Fourth Quarter 2020 • Total revenue expected to be $12.2 million to $12.4 milli
December 8, 2020	SC 13G	IRIX / IRIDEX Corp. / Wyers Point Master, LP - SC 13G Passive Investment SC 13G SCHEDULE 13G Under the Securities Exchange Act of 1934 (Original Filing)* IRIDEX CORPORATION (Name of Issuer) Common Stock, $0.
December 8, 2020	EX-99.1	JOINT FILING AGREEMENT EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of December 7, 2020 is by and among North Tide Capital Master, LP, North Tide Capital GP, LLC, North Tide Capital, LP, North Tide Capital, LLC and Conan Laughlin (the foregoing are collectively referred to herein as the “Filers”). Each of the Filers may be required to file with the United States Securities and Exchan
November 10, 2020	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 26, 2020 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX
November 9, 2020	EX-99.1	IRIDEX Announces Third Quarter 2020 Financial Results EX-99.1 2 irix-ex9917.htm EX-99.1 Exhibit 99.1 IRIDEX Announces Third Quarter 2020 Financial Results MOUNTAIN VIEW, Calif., November 9, 2020 - IRIDEX Corporation (Nasdaq: IRIX) today reported financial results for the third quarter ended September 26, 2020. Third Quarter Summary • Total revenue of $8.8 million, a decline of 17% versus $10.7 million in the prior year period, and an increase of 42%
November 9, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8?K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 9, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
August 10, 2020	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 27, 2020 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPO
August 6, 2020	EX-99.1	IRIDEX Announces Second Quarter 2020 Financial Results Exhibit 99.1 IRIDEX Announces Second Quarter 2020 Financial Results MOUNTAIN VIEW, Calif., August 6, 2020 - IRIDEX Corporation (Nasdaq: IRIX) today reported financial results for the second quarter ended June 27, 2020. Second Quarter Summary • Total revenue declined 40% to $6.2 million versus $10.4 million in the prior year period o Cost control measures limited net loss to $2.8m, a 15% increase c
August 6, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 6, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
June 25, 2020	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 24, 2020 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
June 1, 2020	SD	- SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM SD Specialized Disclosure Report IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.
June 1, 2020	EX-1.01	Conflict Minerals Report for the year ended December 31, 2019. Exhibit 1.01 Conflict Minerals Report For the Year Ended December 31, 2019 Introduction This is the Conflict Minerals Report of Iridex Corporation (the “Company”, “Iridex”, “we” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2019 to December 31,
May 12, 2020	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 28, 2020 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORP
May 11, 2020	EX-99.1	IRIDEX Announces First Quarter 2020 Financial Results Exhibit 99.1 IRIDEX Announces First Quarter 2020 Financial Results MOUNTAIN VIEW, Calif., May 11, 2020 - IRIDEX Corporation (Nasdaq: IRIX) today reported financial results for the first quarter ended March 28, 2020. Commenting on the recently completed quarter and the business environment created by the COVID-19 pandemic, David I. Bruce, President and CEO of IRIDEX, said, “We saw good momentum in
May 11, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 11, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Comm
April 27, 2020	DEFA14A	- DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State
April 27, 2020	DEF 14A	- DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State
April 27, 2020	EX-10.1	Paycheck Protection Program Promissory Note Exhibit 10.1 Silicon Valley Bank U.S. Small Business Administration Paycheck Protection Program Note SBA Loan No. 9560177107 SBA Loan Name Borrower Legal Name IRIDEX CORPORATION DBA Date 4/22/2020 Loan Amount $2,497,199 Interest Rate 1.0% per annum Borrower IRIDEX CORPORATION Operating Company Not applicable Lender Silicon Valley Bank 1. PROMISE TO PAY. In return or the Loan, Borrower promises to
April 27, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 22, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
April 21, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 8-K 1 irix-8k20200420.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 20, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of inco
April 21, 2020	EX-99.1	IRIDEX Announces the Appointment of Doris Engibous to its Board of Directors EX-99.1 2 irix-ex9916.htm EX-99.1 Exhibit 99.1 IRIDEX Announces the Appointment of Doris Engibous to its Board of Directors Mountain View, Calif. April 21, 2020 - IRIDEX Corporation (NASDAQ: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, today announced the appointment of Doris Engibous to its board of directors effective
March 30, 2020	EX-99.1	IRIDEX ANNOUNCES RETIREMENT OF VP FINANCE Names Prior CFO/COO as Interim CFO Exhibit 99.1 For Immediate Release IRIDEX ANNOUNCES RETIREMENT OF VP FINANCE Names Prior CFO/COO as Interim CFO Mountain View, Calif. March 30, 2020 - IRIDEX Corporation (NASDAQ: IRIX), a provider of innovative ophthalmic laser-based medical products for the treatment of glaucoma and retinal diseases, announced today that Romeo Dizon has retired from his position as Vice President of Finance, effe
March 30, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 27, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
March 13, 2020	EX-4.3	Description of Capital Stock. Exhibit 4.3 DESCRIPTION OF CAPITAL STOCK General The following description of the capital stock of Iridex Corporation (“us,” “our,” “we,” or the “Company”) is a summary. We have adopted an amended and restated certificate of incorporation and amended and restated bylaws, and this description summarizes the provisions that are included in such documents. Because it is only a summary, it does not co
March 13, 2020	EX-10.19.2	Second Amendment to Loan and Security Agreement between IRIDEX Corporation and Silicon Valley Bank, executed on January 8, 2020. Exhibit 10.19.2 SECOND Amendment to Loan and security agreement THIS SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into this 8th day of January, 2020, but is effective as of January 1, 2020, by and between SILICON VALLEY BANK (“Bank”) and IRIDEX CORPORATION, a Delaware corporation (“Borrower”). Recitals A.Bank and Borrower have entered into that certain Loan and Sec
March 13, 2020	10-K	IRIX / IRIDEX Corp. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITY EXCHANGE ACT OF 1934 For the fiscal year ended December 28, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITY EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number 0-27598 IRIDEX CORPORATION (
March 13, 2020	EX-10.19.1	First Amendment to Loan and Security Agreement between IRIDEX Corporation and Silicon Valley Bank, executed on December 3, 2019. Exhibit 10.19.1 FIRST Amendment to Loan and security agreement THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into this 3rd day of December, 2019, but is effective as of November 2, 2019, by and between SILICON VALLEY BANK (“Bank”) and IRIDEX CORPORATION, a Delaware corporation (“Borrower”). Recitals A.Bank and Borrower have entered into that certain Loan and Sec
March 12, 2020	EX-99.1	IRIDEX Announces Fourth Quarter and Full Year 2019 Financial Results Exhibit 99.1 IRIDEX Announces Fourth Quarter and Full Year 2019 Financial Results MOUNTAIN VIEW, Calif., March 12, 2020 - IRIDEX Corporation (Nasdaq: IRIX) today reported financial results for the fourth quarter ended December 28, 2019. Fourth Quarter Highlights • Cyclo G6® product family revenue grew 18% year-over-year to $3.7 million, or 31% of total revenue o Shipped 13,700 Cyclo G6 probes, a 1
March 12, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 12, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
February 11, 2020	SC 13G	IRIX / IRIDEX Corp. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: IRIDEX Corp Title of Class of Securities: Common Stock CUSIP Number: 462684101 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rule 13d-1(
February 7, 2020	SC 13G/A	IRIX / IRIDEX Corp. / GLOBAL UNDERVALUED SECURITIES MASTER FUND LP - IRIDEX CORPORATION SCHEDULE 13G, AMENDMENT NO. 1 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Iridex Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 462684101 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule
January 24, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 20, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
January 13, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 13, 2020 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
January 13, 2020	EX-99.1	IRIDEX Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2019 Exhibit 99.1 IRIDEX Announces Preliminary Operational and Financial Results for Fourth Quarter and Full Year 2019 MOUNTAIN VIEW, Calif., January 13, 2020 - IRIDEX Corporation (Nasdaq: IRIX) today provided preliminary operational and financial results for the fourth quarter and full year ended December 28, 2019. Highlights • Total revenue for the fourth quarter of 2019 expected to be $11.6 - $11.8
January 6, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 30, 2019 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization)
November 13, 2019	SC 13G	IRIX / IRIDEX Corp. / ACUTA CAPITAL PARTNERS, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* IRIDEX CORPORATION (Name of Issuer) COMMON STOCK (Title of Class of Securities) 462684101 (CUSIP Number) ACUTA CAPITAL PARTNERS LLC, 1301 SHOREWAY ROAD, SUITE 350, BELMONT CA 94002 (Name, Address and Telephone Number of Person Authorized to Receive Notice
November 13, 2019	EX-1	EXHIBIT A JOINT FILING AGREEMENT EXHIBIT A JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0.
November 13, 2019	SC 13G	IRIX / IRIDEX Corp. / GLOBAL UNDERVALUED SECURITIES MASTER FUND LP - IRIDEX CORPORATION SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Iridex Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 462684101 (CUSIP Number) November 4, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu
November 8, 2019	10-Q	IRIX / IRIDEX Corp. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 28, 2019 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX
November 7, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 7, 2019 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
November 7, 2019	EX-99.1	IRIDEX Corporation Condensed Consolidated Statements of Operations (In thousands, except per share data) EX-99.1 2 irix-ex9916.htm EX-99.1 Exhibit 99.1 MOUNTAIN VIEW, Calif., November 7, 2019 - IRIDEX Corporation (Nasdaq: IRIX) today reported financial results for the third quarter ended September 28, 2019. Third Quarter Highlights • Total revenue of $10.7 million • Cyclo G6® product family revenue of $3.0 million, a 3.6% year-over-year increase o Shipped 11,600 Cyclo G6 probes, a 12% year-over-year
October 28, 2019	EX-10.2	Change in Control Severance Agreement dated as of October 25, 2019, between the Company and Mr. Mercer. Exhibit 10.2 IRIDEX CORPORATION CHANGE IN CONTROL SEVERANCE AGREEMENT This Change in Control Severance Agreement (the “Agreement”) is made and entered into by and between Patrick Mercer (“Executive”) and IRIDEX Corporation, a Delaware corporation (the “Company”), effective as of October 25, 2019 (the “Effective Date”). RECITALS Whereas, it is expected that the Company from time to time will consid
October 28, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 22, 2019 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (
October 28, 2019	EX-99.1	IRIDEX Announces Appointment of Robert Gunst as Chairman of the Board of Directors and Departure of Lead Independent Director, Ruediger Naumann-Etienne Exhibit 99.1 IRIDEX Announces Appointment of Robert Gunst as Chairman of the Board of Directors and Departure of Lead Independent Director, Ruediger Naumann-Etienne Mountain View, Calif., October 28, 2019— IRIDEX Corporation (Nasdaq: IRIX) today announced the appointment of Robert Gunst as Chairman of the Board, effective October 23, 2019. Concurrent with this appointment, Ruediger Naumann-Etienne
October 28, 2019	EX-10.1	Change in Control Severance Agreement dated as of October 25, 2019, between the Company and Mr. Bruce. EX-10.1 2 irix-ex1017.htm EX-10.1 Exhibit 10.1 IRIDEX CORPORATION CHANGE IN CONTROL SEVERANCE AGREEMENT This Change in Control Severance Agreement (the “Agreement”) is made and entered into by and between David I. Bruce (“Executive”) and IRIDEX Corporation, a Delaware corporation (the “Company”), effective as of October 25, 2019 (the “Effective Date”). RECITALS Whereas, it is expected that the Com
September 4, 2019	S-8	IRIX / IRIDEX Corp. S-8 - - S-8 As filed with the Securities and Exchange Commission on September 4, 2019. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under The Securities Act of 1933 IRIDEX CORPORATION (Exact name of Registrant as specified in its charter) Delaware 77-0210467 (State of incorporation) (I.R.S. Employer Identification No.) 1212 Terra Bella Avenue
August 7, 2019	10-Q	Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 29, 2019 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0-27598 IRIDEX CORPO
August 6, 2019	EX-99.1	IRIDEX Announces 2019 Second Quarter Financial Results Exhibit 99.1 IRIDEX Announces 2019 Second Quarter Financial Results MOUNTAIN VIEW, Calif., August 6, 2019 - IRIDEX Corporation (Nasdaq: IRIX) today reported financial results for the second quarter ended June 29, 2019. Second Quarter Highlights • Total revenue of $10.4 million o Cyclo G6 product family revenue of $3.4 million, an 11% increase year-over-year • Shipped a record 14,200 Cyclo G6 probe
August 6, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 6, 2019 (Date of Report (date of earliest event reported) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
July 25, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 23, 2019 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
June 26, 2019	EX-10.1	Separation Agreement and General Release by and between the Company and William M. Moore dated June 14, 2019. Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE This Separation Agreement and General Release (hereinafter referred to as “Agreement”) is made and entered into by and between William M. Moore (hereinafter referred to as “Executive”) and Iridex Corporation (hereinafter referred to as “Iridex” or “Company”). In consideration of the mutual covenants and promises herein contained and other good
June 26, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 22, 2019 (Date of Report (date of earliest event reported)) IRIDEX CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-27598 77-0210467 (State or other jurisdiction of incorporation or organization) (Co
June 14, 2019	EX-10.1	Offer Letter between the Company and Mr. Bruce effective as of May 20, 2019. Exhibit 10.1 May 17, 2019 Mr. David Bruce 21 Udayakavi Lane Danville, CA 94525 [email protected] Dear Mr. Bruce: I am very pleased to extend to you this conditional employment offer for the position of Chief Executive Officer with IRIDEX Corporation. This conditional offer summarizes several areas related to the terms of the offer: Compensation: Base Salary: $13,846.16 payable bi-weekly (an

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