Chris Guo - 15 Mar 2024 Form 3 Insider Report for Sonendo, Inc. (SONX)

Role
Interim CFO
Signature
/s/ Chris Guo
Issuer symbol
SONX
Transactions as of
15 Mar 2024
Net transactions value
$0
Form type
3
Filing time
25 Mar 2024, 19:08:06 UTC
Next filing
16 Apr 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SONX Common Stock 51,987 15 Mar 2024 Direct F1, F2, F3

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 Stock Option 15 Mar 2024 Common Stock 38,355 $2.34 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes: (i) 12,547 restricted stock units ("RSUs") payable in shares of common stock of Sonendo, Inc., par value $0.001 per share ("Common Stock"), granted to the Reporting Person on January 13, 2022, 25% of which vested on January 13, 2023, with 6.25% of the RSUs vesting quarterly thereafter; less, 2,614 shares of Common Stock sold or withheld to cover tax withholding obligations in connection with the vesting of RSUs; (Continued on Footnotes 2 and 3)
F2 (Continued from Footnote 1) (ii) 14,501 RSUs payable in shares of Common Stock, granted to the Reporting Person on May 3, 2022, 25% of which vested on May 3, 2023, with 6.25% of the RSUs vesting quarterly thereafter; less, 2,600 shares of Common Stock sold or withheld to cover tax withholding obligations in connection with the vesting of RSUs; (Continued on Footnote 3)
F3 (Continued from Foontonte 1 and 2) (iii) 33,333 RSUs payable in shares of Common Stock, granted to the Reporting Person on March 14, 2023, 25% of which vested on March 14, 2024, with 6.25% of the RSUs vesting quarterly thereafter; less, 3,180 shares of Common Stock sold or withheld to cover tax withholding obligations in connection with the vesting of RSUs.
F4 Stock option granted on June 23, 2021, of which 24,772 shares underlying the option have vested and are currently exercisable, with the remaining shares underlying the option vesting equally on a monthly basis until July 19, 2025.

Remarks:

Exhibit 24 - Power of Attorney