SEC Form 4 · accession 0001683168-17-000137
Sonoma Pharmaceuticals, Inc. · SNOA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc Umscheid
Officer — Chief Strategy/Mkt Officer
Period of report
Jan 19, 2017
Accepted (ET)
Jan 20, 2017 · 5:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001367083
Table I — non-derivative securities
No Table I lines on this filing.
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)F2,F1 | $5.15 | Jan 19, 2017 | A | 55,000 | A | — | Jan 19, 2027 | Common Stock | 55,000 | 55,000 | D |
Explanation of responses
- F1The stock options vest in three years with the first one-third vesting on the first anniversary of the date of the grant, the second one-third vesting on the second anniversary of the date of the grant and the remainder vesting on the third anniversary of the date of the grant.
- F2The stock options were granted in connection with Mr. Umscheid's service as the Issuer's Chief Strategy and Chief Marketing Officer.