Bjarne Bergheim - Nov 2, 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
Stock symbol
SONX
Transactions as of
Nov 2, 2021
Transactions value $
$0
Form type
4
Date filed
11/2/2021, 05:23 PM
Previous filing
Oct 28, 2021
Next filing
Mar 29, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SONX Common Stock Conversion of derivative security +79K +45.93% 251K Nov 2, 2021 Direct F1
transaction SONX Common Stock Award $0 +97.2K +38.72% $0.00 348K Nov 2, 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 -79K -100% 0 Nov 2, 2021 Common Stock 79K 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.