Jerome Dvonch - Apr 7, 2023 Form 3 Insider Report for Sonoma Pharmaceuticals, Inc. (SNOA)

Role
Interim CFO
Signature
/s/ Jerome Dvonch
Stock symbol
SNOA
Transactions as of
Apr 7, 2023
Transactions value $
$0
Form type
3
Date filed
4/13/2023, 05:02 PM
Previous filing
Jan 14, 2022
Next filing
Dec 29, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SNOA Common Stock 31K Apr 7, 2023 Direct F1

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 SNOA Stock option (right to buy) Apr 7, 2023 Common Stock 27.8K $8.03 Direct F2
holding SNOA Stock option (right to buy) Apr 7, 2023 Common Stock 30K $4.60 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Issuer granted the shares of common stock as an initial grant due to Mr. Dvonch's appointment as interim Chief Financial Officer of the Issuer. The shares vest in two equal tranches on July 15, 2023 and August 15, 2023, subject to Mr. Dvonch's continuous service.
F2 The options vest one third each on 01/07/2022, 01/07/2023 and 01/07/2024, or upon a change of control.
F3 The options vest 10,000 options each on 07/14/2022, 07/14/2023, 07/14/2024, or upon a change of control.