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Mercer Patrick reported acquisition or exercise transactions in this Form 4 filing.
IRIDEX CORP President and CEO Patrick Mercer received equity awards on July 10, 2026, including 100,000 restricted stock units, 100,000 performance RSUs that vest if the share price reaches $2.50 for 30 consecutive trading days, and options for 200,000 shares at $1.10 per share. The RSUs and options vest as to one-third of the shares on July 10, 2027 and on each one-year anniversary thereafter, subject to continued service. Following these awards he directly holds 468,784 common shares, plus 100,000 performance units and 200,000 options.
IRIDEX CORP awarded its Chief Financial Officer, Romeo R. Dizon, equity-based compensation consisting of 30,000 restricted stock units (RSUs) and a stock option for 170,000 shares. Each RSU represents a contingent right to receive one share of common stock, vesting in three equal annual installments: one-third on July 10, 2027 and one-third on each of the next two anniversaries, subject to his continued service.
The option gives Dizon the right to purchase up to 170,000 shares of IRIDEX common stock at an exercise price of $1.10 per share and expires on July 10, 2033. Following these awards, he holds 163,284 shares of common stock directly, in addition to the newly granted stock option. These are compensation grants rather than open‑market purchases or sales.
Novel Inspiration International Co., Ltd., Xinpo Venture Capital Co., Ltd. and Shih‑Yao David Lin report a large investment position in Iridex Corp. common stock. As of July 10, 2026, Mr. Lin beneficially owns 6,738,238 shares, representing 29.92% of the common stock, including holdings through Novel Inspiration and Xinpo. Percentages are based on 17,406,518 shares outstanding as of May 11, 2026 plus 111,997 shares issued on July 7, 2026.
Novel Inspiration holds 600,000 shares of Series B Preferred Stock convertible into 3,000,000 common shares and a Convertible Promissory Note exchangeable into 400,000 additional Series B shares, convertible into 2,000,000 common shares, plus common shares issued as interest on the note. The note bears 12% annual interest, paid quarterly in stock under a pricing formula with a $0.21 per‑share floor; Iridex issued 87,949 shares on April 1, 2026 and 111,997 shares on July 7, 2026 as interest. Xinpo beneficially owns 1,186,809 common shares, about 6.77% of the class, acquired in open‑market purchases on the Nasdaq Capital Market for an aggregate $1,310,308.
The investor group states that it holds the securities for investment and plans to engage with Iridex’s board and management on business strategy, board composition and potential representation, operational initiatives, capital structure, and possible transactions, including mergers and acquisitions, balance sheet changes, dividends, share repurchases, or a going‑private transaction.
IRIDEX CORP disclosed a non-cash equity transaction with a major shareholder. Novel Inspiration International Co., Ltd., a 10% owner, received 111,997 shares of common stock as a quarterly interest payment on a Convertible Promissory Note issued on March 19, 2025. After this issuance, Novel Inspiration directly beneficially owns 551,429 shares, which are also indirectly beneficially owned by Shih-Yao David Lin as the sole officer, director and stockholder of Novel Inspiration.
IRIDEX Corporation convened its 2026 annual meeting of stockholders on June 12, 2026 but immediately adjourned it without conducting any business. The meeting is scheduled to reconvene at 8:00 a.m. Pacific Time on July 10, 2026 at the company’s Mountain View, California headquarters.
The record date for voting remains April 17, 2026, and the proposals to be considered are unchanged. Proxies already submitted remain valid and will be voted at the reconvened meeting unless properly revoked, so stockholders who have already voted are not required to act again.
IRIDEX CORP Chief Financial Officer Romeo R. Dizon reported a tax-related share withholding. On this Form 4, 2,691 shares of Common Stock were disposed of at $1.12 per share to satisfy a tax obligation, classified as a tax-withholding disposition rather than an open-market sale. After this transaction, he directly holds 133,284 shares of IRIDEX CORP Common Stock.
IRIDEX CORP President and CEO Patrick Mercer reported a tax-withholding disposition of 3,990 shares of Common Stock at $1.12 per share. This transaction satisfied tax obligations by delivering shares rather than through an open-market sale. After the transaction, he directly holds 368,784 shares.
IRIDEX CORP Chief Financial Officer buys additional shares on the open market. On this Form 4, Romeo R. Dizon reported purchasing 975 shares of IRIDEX common stock in an open-market transaction at an average price of $1.1386 per share. Following this buy, he directly owns 135,975 common shares.
IRIDEX CORP’s Chief Financial Officer, Romeo R. Dizon, reported an open-market purchase of company stock. On June 11, 2026, he bought 1,675 shares of IRIDEX common stock at $1.14 per share. Following this transaction, he directly owns 135,000 common shares, indicating a modest increase to his existing position.