Roy T. Chen - Nov 30, 2021 Form 4 Insider Report for Sonendo, Inc. (SONX)

Role: Chief Talent Officer
Signature: /s/ Jacqueline Collins, Attorney-in-Fact for Roy T. Chen
Stock symbol: SONX
Transactions as of: Nov 30, 2021
Transactions value $: $9,045
Form type: 4
Date filed: 12/14/2021, 03:12 PM
Previous filing: Nov 2, 2021
Next filing: Mar 29, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SONX	Common Stock	Options Exercise	$9.05K	+2.25K	+9%	$4.02	27.3K	Nov 30, 2021	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
transaction	SONX	Common Stock	Options Exercise	$0	-2.25K	-3.89%	$0.00	55.6K	Nov 30, 2021	Common Stock	2.25K	$4.02	Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	These shares are subject to a lock-up agreement between the reporting person and BofA Securities, Inc. dated October 28, 2021 (the "Lock-up Date") pursuant to which they may not be sold until April 27, 2022.
F2	The option vested as to 25% of the underlying shares of Common Stock on December 31, 2018 and with respect to the remaining shares in 36 equal monthly installments thereafter.