<SEC-DOCUMENT>0001564590-21-035076.txt : 20210629
<SEC-HEADER>0001564590-21-035076.hdr.sgml : 20210629
<ACCEPTANCE-DATETIME>20210629160605
ACCESSION NUMBER:		0001564590-21-035076
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210626
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20210629
DATE AS OF CHANGE:		20210629

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			IRIDEX CORP
		CENTRAL INDEX KEY:			0001006045
		STANDARD INDUSTRIAL CLASSIFICATION:	ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
		IRS NUMBER:				770210467
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			0102

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-27598
		FILM NUMBER:		211058169

	BUSINESS ADDRESS:	
		STREET 1:		1212 TERRA BELLA AVE
		CITY:			MOUNTAIN VIEW
		STATE:			CA
		ZIP:			94043
		BUSINESS PHONE:		6509404700

	MAIL ADDRESS:	
		STREET 1:		1212 TERRA BELLA AVENUE
		CITY:			MOUNTAIN VIEW
		STATE:			CA
		ZIP:			94043
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>irix-8k_20210629.htm
<DESCRIPTION>8-K
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:10pt;font-weight:bold;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Washington, D.C. 20549</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:12pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.2pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">CURRENT REPORT</p></td>
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<p style="margin-top:6pt;text-align:center;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:11pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.15pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">PURSUANT TO SECTION 13 OR 15(d) OF THE<br />SECURITIES EXCHANGE ACT OF 1934</p></td>
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<p style="margin-top:6pt;text-align:center;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;font-weight:bold;">&nbsp;</p></td>
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<p style="margin-top:6pt;text-align:center;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:10pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">June 26, 2021</p></td>
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<p style="text-align:left;margin-top:6pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;font-weight:bold;">&nbsp;</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;letter-spacing:0pt;font-weight:bold;font-size:8pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Date of Report (date of earliest event reported)</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:22pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.2pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">IRIDEX CORPORATION</p></td>
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<p style="margin-top:6pt;text-align:center;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:10pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Delaware</p></td>
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<p style="margin-top:6pt;text-align:center;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:10pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">77-0210467</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;letter-spacing:0pt;font-weight:bold;font-size:8pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(State or other jurisdiction of<br />incorporation or organization)</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;letter-spacing:0pt;font-weight:bold;font-size:8pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Commission File Number)</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;letter-spacing:0pt;font-weight:bold;font-size:8pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(I.R.S. Employer<br />Identification Number)</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:10pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">1212 Terra Bella Avenue<br />Mountain View, California 94043</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;letter-spacing:0pt;font-weight:bold;font-size:8pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Address of principal executive offices, including zip code)</p></td>
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<p style="margin-top:6pt;text-align:center;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:10pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(650) 940-4700</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;;font-size:8pt;font-weight:bold;">&nbsp;</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:8pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Registrant&#8217;s telephone number, including area code)</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:8pt;font-weight:bold;">&nbsp;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-weight:bold;">&nbsp;</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-size:8pt;letter-spacing:0pt;font-weight:bold;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Former name or former address, if changed since last report)</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-weight:bold;font-size:11pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"></p></td>
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<p style="text-align:left;margin-top:6pt;margin-bottom:0pt;margin-left:0pt;;text-indent:36pt;;font-weight:normal;font-size:10pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">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): </p></td>
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<p style="margin-top:6pt;margin-bottom:0pt;margin-left:22.3pt;;margin-right:0.21%;text-indent:-22.3pt;;font-size:10pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="Check1"></a><font style="font-size:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><a name="Check1"></a>&#9744;</font><font style="font-weight:bold;"></font>Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p></td>
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<p style="margin-top:6pt;margin-bottom:0pt;margin-left:22.3pt;;margin-right:0.21%;text-indent:-22.3pt;;font-size:10pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';">&#9744;</font><font style="font-weight:bold;"></font>Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p></td>
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<p style="margin-top:6pt;margin-bottom:0pt;margin-left:22.3pt;;margin-right:0.21%;text-indent:-22.3pt;;font-size:10pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="Check3"></a><font style="font-size:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><a name="Check3"></a>&#9744;</font><font style="font-weight:bold;"></font>Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p></td>
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<p style="margin-top:6pt;margin-bottom:0pt;margin-left:22.3pt;;margin-right:0.21%;text-indent:-22.3pt;;font-size:10pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:10pt;letter-spacing:-0.1pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';">&#9744;</font>Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p></td>
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<p style="margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;margin-right:0.21%;text-indent:0pt;;font-size:11pt;">&nbsp;</p></td>
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<td colspan="7" valign="top" >
<p style="margin-top:6pt;margin-bottom:0pt;margin-left:0pt;;margin-right:0.21%;text-indent:0pt;;font-size:10pt;letter-spacing:-0.2pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</p></td>
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<p style="margin-top:6pt;margin-bottom:0pt;margin-left:0pt;;margin-right:0.21%;text-indent:0pt;;font-size:10pt;letter-spacing:0pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Emerging growth company&nbsp;&nbsp;<font style="font-size:11pt;font-family:'Times New Roman';">&#9744;</font><font style="font-size:11pt;"></font></p></td>
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<p style="margin-top:6pt;margin-bottom:0pt;margin-left:0pt;;margin-right:0.21%;text-indent:0pt;;font-size:10pt;letter-spacing:0pt;letter-spacing:-0.1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">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.&nbsp;&nbsp;<font style="font-size:11pt;font-family:'Times New Roman';">&#9744;</font><font style="font-size:11pt;"></font></p></td>
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<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Securities registered pursuant to Section 12(b) of the Act:</p>
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<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:8pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Title of Class</p></td>
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<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;;font-size:8pt;">&nbsp;</p></td>
<td valign="bottom"  style="width:15%; border-bottom:solid 0.75pt #000000;">
<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:8pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Trading</p>
<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:8pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Symbol</p></td>
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<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;;font-size:8pt;">&nbsp;</p></td>
<td valign="bottom"  style="width:45%; border-bottom:solid 0.75pt #000000;">
<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:8pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Name of Exchange on Which Registered</p></td>
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<p style="margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Common Stock, par value $0.01 per share</p></td>
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<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;">&nbsp;</p></td>
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<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">IRIX</p></td>
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<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;">&nbsp;</p></td>
<td valign="bottom"  style="width:45%; border-top:solid 0.75pt #000000;">
<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Nasdaq Global Market</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;">&nbsp;</p>
<p style="margin-top:12pt;margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
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<p style="margin-top:0pt;margin-bottom:0pt;text-indent:7.69%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;;font-size:10pt;"><a name="_AEIOULastRenderedPageBreakAEIOU4"></a>&nbsp;</p>
<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;;font-size:10pt;">&nbsp;</p>
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<td style="width:94.57%;"></td>
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<p style="margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:12pt;">&nbsp;</p></td>
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<p style="text-align:justify;margin-top:0pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;">&nbsp;</p></td>
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<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 8.01. Other Events</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;;font-size:10pt;">&nbsp;</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Iridex Corportation (the &#8220;Company&#8221;) is filing this Current Report on Form 8-K to provide an update related to the status of its Paycheck Protection Program (&#8220;PPP&#8221;) loan forgiveness application with the Small Business Administration (&#8220;SBA&#8221;).</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:10pt;">&nbsp;</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">The Company applied for a PPP loan based on the eligibility and need requirements established under the Coronavirus Aid, Relief, and Economic Security Act (the &#8220;CARES Act&#8221;) and in April 2020, received $2,497,199 through Silicon Valley Bank. In December 2020, the Company submitted its PPP loan forgiveness application and the loan necessity questionnaire to the SBA through Silicon Valley Bank.</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:10pt;">&nbsp;</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">On June 26, 2021, the Company received notification through Silicon Valley Bank that its PPP loan has been fully forgiven by the SBA and the forgiveness payment date was June 21, 2021. The forgiveness of the PPP loan will be recognized during the Company&#8217;s second fiscal quarter ending July 3, 2021<font style="color:#000000;">.</font></p>
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<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">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. </p>
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<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Date: June 29, 2021 </p>
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