SEC Form 4 · accession 0001683168-16-000849
Sonoma Pharmaceuticals, Inc. · SNOA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert E Miller
Officer — Chief Financial Officer
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 5:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001367083
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.0001 par value per shareF1 | Nov 30, 2016 | A | 15,593 | — | A | 15,964 | D | |
| Common Stock, $0.0001 par value per shareF2 | holding | — | — | — | 1,714 | I | See Note |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F3 | $4.81 | Nov 30, 2016 | A | 50,000 | A | Nov 30, 2016 | Nov 30, 2026 | Common Stock | 50,000 | 110,866 | D |
Explanation of responses
- F1These shares were granted to Mr. Miller as bonus compensation, based on the closing price of the Corporation's common stock of $4.81 on November 30, 2016.
- F2These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller are the trustees.
- F3The stock options were granted to Mr. Miller as a signing bonus for his employment agreement dated November 30, 2016.