Washington, DC 20549





Pursuant to Section 13 or 15(d) of

The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) July 24, 2017



(Exact name of registrant as specified in its charter)


















(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer
Identification No.)

1212 Terra Bella Avenue

Mountain View, California 94043

(Address of principal executive offices, including zip code)

(650) 940-4700

(Registrant’s telephone number, including area code)

(Former name or former address, if changed since last report)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


  Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.


Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On July 24, 2017, the board of directors of IRIDEX Corporation (the “Company”) approved the following equity grants to William M. Moore and Atabak Mokari pursuant to the terms of the Company’s Amended and Restated 2008 Equity Incentive Plan. Mr. Moore received an award of 15,000 restricted stock units (“RSUs”) and an option to purchase 157,000 shares of the Companys common stock. Mr. Mokari received an award of 6,000 RSUs and an option to purchase 63,000 shares of the Companys common stock. RSUs convert into shares of the Company’s common stock on a one-for-one basis. Each RSU and option award is subject to vesting, with one-quarter (1/4) of the shares/units vesting on the one year anniversary of the date of grant and one forty-eighth (1/48) of the total shares/units vesting monthly thereafter.


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.















/s/ William M. Moore



William M. Moore

President and Chief Executive Officer

Date: July 27, 2017