IRIDEX Corporation

10/07/2026 | Press release | Distributed by Public on 10/07/2026 04:08

Statement of Changes in Beneficial Ownership (Form 4)

FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden hours per response... 0.5
(Print or Type Responses)
1. Name and Address of Reporting Person *
Lin Shih-Yao David
2. Issuer Name and Ticker or Trading Symbol
IRIDEX CORP [IRIX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
VISTRA CORPORATE SERVICES CENTER, WICKHAMS CAY II
3. Date of Earliest Transaction (Month/Day/Year)
03/25/2025
(Street)
ROAD TOWN VG1110
4. If Amendment, Date Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/06/2025 P 18,161 A $0.97 588,345 I By Xinpo(1)
Common Stock 06/09/2025 P 15,755 A $0.986(2) 604,100 I By Xinpo(1)
Common Stock 06/12/2025 P 236 A $0.9401 604,336 I By Xinpo(1)
Common Stock 06/13/2025 P 1,582 A $0.9401 605,918 I By Xinpo(1)
Common Stock 06/16/2025 P 14,712 A $0.9401 620,630 I By Xinpo(1)
Common Stock 06/17/2025 P 101 A $0.965 620,731 I By Xinpo(1)
Common Stock 06/18/2025 P 3,744 A $0.9737 624,475 I By Xinpo(1)
Common Stock 06/23/2025 P 1,192 A $0.95 625,667 I By Xinpo(1)
Common Stock 06/27/2025 P 50,000 A $0.8874(2) 675,667 I By Xinpo(1)
Common Stock 06/30/2025 P 253 A $0.88 675,920 I By Xinpo(1)
Common Stock 07/01/2025 P 100 A $0.88 676,020 I By Xinpo(1)
Common Stock 07/09/2025 P 2,139 A $0.975 678,159 I By Xinpo(1)
Common Stock 07/11/2025 P 7,302 A $1 685,461 I By Xinpo(1)
Common Stock 07/18/2025 P 20,000 A $1.2782(2) 705,461 I By Xinpo(1)
Common Stock 07/29/2025 P 20,000 A $1.52 725,461 I By Xinpo(1)
Common Stock 10/14/2025 P 100 A $1.05 725,561 I By Xinpo(1)
Common Stock 10/16/2025 P 10,000 A $1.05 735,561 I By Xinpo(1)
Common Stock 10/20/2025 P 422 A $1.04 735,983 I By Xinpo(1)
Common Stock 10/21/2025 P 10,000 A $1.08 745,983 I By Xinpo(1)
Common Stock 10/22/2025 P 6,120 A $1.06 752,103 I By Xinpo(1)
Common Stock 10/27/2025 P 10,000 A $1.09 762,103 I By Xinpo(1)
Common Stock 11/06/2025 P 1,496 A $1.04 763,599 I By Xinpo(1)
Common Stock 11/07/2025 P 115 A $1.04 763,714 I By Xinpo(1)
Common Stock 11/12/2025 P 20,000 A $1.04 783,714 I By Xinpo(1)
Common Stock 11/14/2025 P 24,626 A $0.8781(2) 808,340 I By Xinpo(1)
Common Stock 11/20/2025 P 925 A $0.94 809,265 I By Xinpo(1)
Common Stock 11/25/2025 P 69 A $0.91 809,334 I By Xinpo(1)
Common Stock 11/26/2025 P 3,033 A $0.93 812,367 I By Xinpo(1)
Common Stock 11/28/2025 P 3,885 A $0.96 816,252 I By Xinpo(1)
Common Stock 12/01/2025 P 20,000 A $0.96 836,252(3) I By Xinpo(1)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1474 (9-02)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Lin Shih-Yao David
VISTRA CORPORATE SERVICES CENTER
WICKHAMS CAY II
ROAD TOWN VG1110
X

Signatures

/s/ Lin Shih-Yao David 10/07/2026
**Signature of Reporting Person Date

Explanation of Responses:

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1) The shares are held directly by Xinpo Venture Capital Co., Ltd. ("Xinpo") and indirectly by the Reporting Person. The Reporting Person controls the entire ownership interest in Xinpo, both directly and through family members, and has a pecuniary interest in the shares held by Xinpo.
(2) Each price marked with this footnote is a weighted average price for multiple open-market purchases on the stated date. The execution prices were as follows: 06/09/2025: $0.9832 to $0.9866, inclusive; 06/27/2025: $0.88 to $0.89, inclusive; 07/18/2025: $1.269236 to $1.28, inclusive; 11/14/2025: $0.87 to $0.88, inclusive. The Reporting Person undertakes to provide IRIDEX CORP, any security holder of IRIDEX CORP, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth above.
(3) The amount reported in Column 5 reflects the shares held through Xinpo following the reported transaction. As of the date of this report, the Reporting Person beneficially owns an aggregate of 1,738,238 shares of Common Stock, consisting of 1,186,809 shares held through Xinpo and 551,429 shares held through Novel Inspiration International Co., Ltd.("Novel Inspiration"). The Reporting Person is the sole officer, director and stockholder of Novel Inspiration.

Remarks:
This Form 4 is the second of three Form 4 filings being filed solely by the Reporting Person to report previously unreported open-market purchases of the Issuer's Common Stock by Xinpo from March 25, 2025 through March 30, 2026. The transactions are divided among three Form 4 filings because SEC's EDGAR filing system permits no more than 30 entries in Table I. The Reporting Person's holdings through Novel Inspiration are disclosed in the Explanation of Responses solely to reconcile the Reporting Person's aggregate beneficial ownership and do not represent transactions reported on this Form 4. This Form 4 is being filed late.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
IRIDEX Corporation published this content on October 07, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on October 07, 2026 at 10:08 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]