IRIDEX CORP
For the period ended Mar 29, 2025. Filed May 13, 2025.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 29, 2025 · Filed May 13, 2025
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| ExhibitNo. | Exhibit Title | Form | Filing No. | Exhibit | Filing Date | Filed Herewith |
| 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. | 8-K | 000-27598 | 3.1 | March 20, 2025 | |
| 4.1 | Investor Rights Agreement, dated March 19, 2025, by and between the Registrant and Novel Inspiration International Co., Ltd. | 8-K | 000-27598 | 4.1 | March 20, 2025 | |
| 10.1 | Securities Purchase Agreement, dated March 19, 2025 by andbetween the Registrant and Novel Inspiration International Co., Ltd. | 8-K | 000-27598 | 10.1 | March 20, 2025 | |
| 10.2 | Note Purchase Agreement, dated March 19, 2025, by andbetween the Registrant and Novel Inspiration International Co., Ltd. | 8-K | 000-27598 | 10.2 | March 20, 2025 | |
| 10.3 | Form of Convertible Promissory Note, dated March 19, 2025,by and between the registrant and Novel Inspiration International Co., Ltd. | 8-K | 000-27598 | 10.3 | March 20, 2025 | |
| 10.4 | Convertible Promissory Note, dated March 19, 2025, by andbetween the registrant and Novel Inspiration International Co., Ltd. | 8-K | 000-27598 | 10.4 | March 20, 2025 | |
| 10.5* | Offer Letter between the Registrant and Mr. Dizon. | 8-K | 000-27598 | 10.5 | March 20, 2025 | |
| 10.6* | Change in Control Severance Agreement between theRegistrant and Mr. Dizon. | 8-K | 000-27598 | 10.6 | March 20, 2025 | |
| 31.1 | Certification of Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 31.2 | Certification of Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.1** | Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.2** | Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File as its XBRL tags are embedded within the Inline XBRL document. | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Document. | X | ||||
| 104 | Cover Page formatted as Inline XBRL and contained in Exhibit 101 | X | ||||
- Indicates a management contract or compensatory plan or arrangement.
** The certification furnished in Exhibit 32.1 and 32.2 hereto is deemed to accompany this Quarterly Report on Form 10-Q and will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended. Such certification will not be deemed to be incorporated by reference into any filings under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, except to the extent that the registrant specifically incorporates it by reference.
Trademark Acknowledgments
Iridex, the Iridex logo, IRIS Medical, MicroPulse, OcuLight, EndoProbe, MicroPulse P3, G-Probe, G-Probe Illuminate, TruFocus LIO Premiere, IQ 577, IQ 532, Cyclo G6, and TxCell are our registered trademarks. All other trademarks or trade names appearing in this Quarterly Report on Form 10-Q are the property of their respective owners.
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