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

Role
President and CEO, Director
Signature
/s/ Bjarne Bergheim
Issuer symbol
SONX
Transactions as of
02 Dec 2022
Net transactions value
$0
Form type
4
Filing time
05 Dec 2022, 17:47:34 UTC
Previous filing
17 Jun 2022
Next filing
16 Mar 2023
SEC
View on sec.gov

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 -139,701 -100% $0.000000* 0 02 Dec 2022 Common Stock 139,701 $12.00 Direct F1, F2
transaction SONX Stock Option Award $0 +139,701 $0.000000 139,701 02 Dec 2022 Common Stock 139,701 $2.34 Direct F1, F2
transaction SONX Stock Option Disposed to Issuer $0 -200,208 -100% $0.000000* 0 02 Dec 2022 Common Stock 200,208 $7.01 Direct F1, F3
transaction SONX Stock Option Award $0 +200,208 $0.000000 200,208 02 Dec 2022 Common Stock 200,208 $2.34 Direct F1, F3
transaction SONX Stock Option Disposed to Issuer $0 -174,721 -100% $0.000000* 0 02 Dec 2022 Common Stock 174,721 $4.02 Direct F1, F4
transaction SONX Stock Option Award $0 +174,721 $0.000000 174,721 02 Dec 2022 Common Stock 174,721 $2.34 Direct F1, F4
transaction SONX Stock Option Disposed to Issuer $0 -106,022 -100% $0.000000* 0 02 Dec 2022 Common Stock 106,022 $4.02 Direct F1, F5
transaction SONX Stock Option Award $0 +106,022 $0.000000 106,022 02 Dec 2022 Common Stock 106,022 $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.