Bjarne Bergheim - Oct 28, 2021 Form 3 Insider Report for Sonendo, Inc. (SONX)

Role
President and CEO, Director
Signature
/s/ Jacqueline Collins, Attorney-in-Fact for Bjarne Bergheim
Stock symbol
SONX
Transactions as of
Oct 28, 2021
Transactions value $
$0
Form type
3
Date filed
10/28/2021, 09:44 PM
Next filing
Nov 2, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SONX Common Stock 172K Oct 28, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding SONX Series A-1 Preferred Stock Oct 28, 2021 Common Stock 79K Direct F1
holding SONX Stock Option Oct 28, 2021 Common Stock 95.3K $1.10 Direct F2
holding SONX Stock Option Oct 28, 2021 Common Stock 26.4K $1.10 Direct F2
holding SONX Stock Option Oct 28, 2021 Common Stock 124K $4.02 Direct F2
holding SONX Stock Option Oct 28, 2021 Common Stock 106K $4.02 Direct F2
holding SONX Stock Option Oct 28, 2021 Common Stock 175K $4.02 Direct F3
holding SONX Stock Option Oct 28, 2021 Common Stock 200K $7.01 Direct F4
holding SONX Stock Option Oct 28, 2021 Common Stock 140K $12.00 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of the Issuer's preferred stock is convertible on a one-to-one basis into shares of the Issuer's common stock and has no expiration date. The preferred stock will automatically convert into common stock upon the closing of the Issuer's initial public offering.
F2 The option is fully vested and currently exercisable.
F3 The option vests in 48 equal monthly installments beginning on September 18, 2018.
F4 The option vests in 48 equal monthly installments beginning on March 17, 2020.
F5 The option vests and becomes exercisable in 16 equal quarterly installments beginning on October 28, 2021.

Remarks:

Exhibit 24 - Power of Attorney.