Bjarne Bergheim - 02 Nov 2021 Form 4 Insider Report for Sonendo, Inc. (SONX)

Role: President and CEO, Director
Signature: By: /s/ Jacqueline Collins, Attorney-in-Fact for Bjarne Bergheim
Issuer symbol: SONX
Transactions as of: 02 Nov 2021
Net transactions value: $0
Form type: 4
Filing time: 02 Nov 2021, 17:23:24 UTC
Previous filing: 28 Oct 2021
Next filing: 29 Mar 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SONX	Common Stock	Conversion of derivative security		+78,983	+46%		250,957	02 Nov 2021	Direct	F1
transaction	SONX	Common Stock	Award	$0	+97,166	+39%	$0.000000	348,123	02 Nov 2021	Direct	F2

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
transaction	SONX	Series A-1 Preferred Stock	Conversion of derivative security		-78,983	-100%		0	02 Nov 2021	Common Stock	78,983		Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis.
F2	Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in 16 equal quarterly installments beginning on November 2, 2021.