Bjarne Bergheim - Dec 2, 2022 Form 4 Insider Report for Sonendo, Inc. (SONX)

Role
President and CEO, Director
Signature
/s/ Bjarne Bergheim
Stock symbol
SONX
Transactions as of
Dec 2, 2022
Transactions value $
$0
Form type
4
Date filed
12/5/2022, 05:47 PM
Previous filing
Jun 17, 2022
Next filing
Mar 16, 2023

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 Stock Option Disposed to Issuer $0 -140K -100% $0.00* 0 Dec 2, 2022 Common Stock 140K $12.00 Direct F1, F2
transaction SONX Stock Option Award $0 +140K $0.00 140K Dec 2, 2022 Common Stock 140K $2.34 Direct F1, F2
transaction SONX Stock Option Disposed to Issuer $0 -200K -100% $0.00* 0 Dec 2, 2022 Common Stock 200K $7.01 Direct F1, F3
transaction SONX Stock Option Award $0 +200K $0.00 200K Dec 2, 2022 Common Stock 200K $2.34 Direct F1, F3
transaction SONX Stock Option Disposed to Issuer $0 -175K -100% $0.00* 0 Dec 2, 2022 Common Stock 175K $4.02 Direct F1, F4
transaction SONX Stock Option Award $0 +175K $0.00 175K Dec 2, 2022 Common Stock 175K $2.34 Direct F1, F4
transaction SONX Stock Option Disposed to Issuer $0 -106K -100% $0.00* 0 Dec 2, 2022 Common Stock 106K $4.02 Direct F1, F5
transaction SONX Stock Option Award $0 +106K $0.00 106K Dec 2, 2022 Common Stock 106K $2.34 Direct F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.
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.
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.
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.
F5 The options were originally granted on September 8, 2017 and are fully vested.