John Dal Poggetto - 17 Jul 2023 Form 3 Insider Report for Sonoma Pharmaceuticals, Inc. (SNOA)

Role
Controller
Signature
/s/ John Dal Poggetto
Issuer symbol
SNOA
Transactions as of
17 Jul 2023
Net transactions value
$0
Form type
3
Filing time
21 Jul 2023, 17:00:05 UTC
Next filing
29 Dec 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
holding SNOA Stock option (right to buy) 17 Jul 2023 Common Stock 5,000 $1.15 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Issuer granted the options as an initial grant upon Mr. Dal Poggetto's appointment as Controller of the Issuer on July 17, 2023. The options vest in three equal tranches annually on the grant date anniversary, beginning on July 17, 2024 and becoming fully vested on July 17, 2026, or upon change of control of the Issuer.