SEC Form 4 · accession 0001683168-17-000822
Sonoma Pharmaceuticals, Inc. · SNOA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Allen Northey
Officer — Exec. VP of Res & Development
Period of report
Apr 3, 2017
Accepted (ET)
Apr 5, 2017 · 5:16 pm EDT
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 | $7.06 | Apr 3, 2017 | A | 17,000 | A | — | Apr 3, 2027 | Common Stock | 17,000 | 60,310 | 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. Northey's service as the Issuer's Executive Vice President of Research and Development.