Bjarne Bergheim - 02 Dec 2022 Form 4 Insider Report for Sonendo, Inc. (SONX)

Reporting relationship: President and CEO, Director
Issuer ticker: SONX
Reported as of: 02 Dec 2022
Net transaction value: $0
SEC form: 4
Accepted by SEC: 05 Dec 2022, 17:47:34 UTC
Prior SEC filing: 17 Jun 2022
Next SEC filing: 16 Mar 2023
Source filing: View source filing
Reporting owner signature: /s/ Bjarne Bergheim

Key filing fact

Bjarne Bergheim filed Form 4 for Sonendo, Inc. (SONX) on 05 Dec 2022.

Key facts

This page summarizes Bjarne Bergheim's Form 4 filing for Sonendo, Inc. (SONX).
8 reported transactions and 8 derivative rows are listed below.
Accepted by SEC: 05 Dec 2022, 17:47.

Change

Previous filing in this sequence was filed on 17 Jun 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: -139,701
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 139,701
Exercise price: $12.00
Footnotes: F1, F2

SONX transaction Derivative

Stock Option

Award

Transaction value: $0
Shares: +139,701
Change %
Price: $0.000000
Shares after: 139,701
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 139,701
Exercise price: $2.34
Footnotes: F1, F2

SONX transaction Derivative

Stock Option

Disposed to Issuer

Transaction value: $0
Shares: -200,208
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 200,208
Exercise price: $7.01
Footnotes: F1, F3

SONX transaction Derivative

Stock Option

Award

Transaction value: $0
Shares: +200,208
Change %
Price: $0.000000
Shares after: 200,208
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 200,208
Exercise price: $2.34
Footnotes: F1, F3

SONX transaction Derivative

Stock Option

Disposed to Issuer

Transaction value: $0
Shares: -174,721
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 174,721
Exercise price: $4.02
Footnotes: F1, F4

SONX transaction Derivative

Stock Option

Award

Transaction value: $0
Shares: +174,721
Change %
Price: $0.000000
Shares after: 174,721
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 174,721
Exercise price: $2.34
Footnotes: F1, F4

SONX transaction Derivative

Stock Option

Disposed to Issuer

Transaction value: $0
Shares: -106,022
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 106,022
Exercise price: $4.02
Footnotes: F1, F5

SONX transaction Derivative

Stock Option

Award

Transaction value: $0
Shares: +106,022
Change %
Price: $0.000000
Shares after: 106,022
Date: 02 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 106,022
Exercise price: $2.34
Footnotes: F1, F5

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

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 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 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 March 17, 2020 and vests in 48 equal monthly installments beginning March 17, 2020, subject to the reporting person's continued provision of service to the issuer on each vesting date.

Footnote F4

The option was originally granted on September 18, 2018 and vests in 48 equal monthly installments beginning September 18, 2018, subject to the reporting person's continued provision of service to the issuer on each vesting date.

Footnote F5

The options were originally granted on September 8, 2017 and are fully vested.