Michael J. Smith - 02 Dec 2022 Form 4 Insider Report for Sonendo, Inc. (SONX)

Reporting relationship: Chief Commercial Officer
Issuer ticker: SONX
Reported as of: 02 Dec 2022
Net transaction value: $0
SEC form: 4
Accepted by SEC: 05 Dec 2022, 17:47:05 UTC
Prior SEC filing: 16 Nov 2022
Next SEC filing: 28 Dec 2022
Source filing: View source filing
Reporting owner signature: /s/ Michael J. Smith

Key filing fact

Michael J. Smith filed Form 4 for Sonendo, Inc. (SONX) on 05 Dec 2022.

Key facts

This page summarizes Michael J. Smith's Form 4 filing for Sonendo, Inc. (SONX).
4 reported transactions and 4 derivative rows are listed below.
Accepted by SEC: 05 Dec 2022, 17:47.

Change

Previous filing in this sequence was filed on 16 Nov 2022.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

SONX transaction Derivative

Stock Option

Disposed to Issuer

Transaction value: $0
Shares: -66,615
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 66,615
Exercise price: $12.00
Footnotes: F1, F2

SONX transaction Derivative

Stock Option

Award

Transaction value: $0
Shares: +66,615
Change %
Price: $0.000000
Shares after: 66,615
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 66,615
Exercise price: $2.34
Footnotes: F1, F2

SONX transaction Derivative

Stock Option

Disposed to Issuer

Transaction value: $0
Shares: -213,698
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 213,698
Exercise price: $11.52
Footnotes: F1, F3

SONX transaction Derivative

Stock Option

Award

Transaction value: $0
Shares: +213,698
Change %
Price: $0.000000
Shares after: 213,698
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 213,698
Exercise price: $2.34
Footnotes: F1, F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote F1

The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options.

Footnote F2

The option was originally granted on October 28, 2021 and vests in 16 equal quarterly installments beginning on October 28, 2021, subject to the reporting person's continued provision of service to the issuer on each vesting date.

Footnote F3

The option was originally granted on June 22, 2021 and vested as to 25% of the underlying shares of Common Stock on June 21, 2022 and with respect to the remaining shares in 36 equal monthly installments thereafter, subject to the reporting person's continued provision of service to the issuer on each vesting date.