SEC Form 4 · accession 0001683168-17-001688
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
Jun 29, 2017
Accepted (ET)
Jun 30, 2017 · 4:18 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Shares Common Stock, $0.0001 par value per shareF1,F2 | Jun 29, 2017 | A | 4,124 | — | A | 20,088 | D | |
| Common Stock, $0.0001 par per shareF3 | holding | — | — | — | 8,464 | I | See Note |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The restricted shares will vest in equal increments of one-third over two years, e.g. one-third vests immediately on the date of the grant, one-third vests on the first anniversary of the date of the grant, or June 29, 2018, and the remaining one-third vests on the second anniversary of the date of the grant, or June 29, 2019.
- F2The restricted shares were granted by the Issuer as a performance bonus award pursuant to the FY2017 Bonus Plan, based on the closing price of the Issuer's common stock of $6.94 on June 29, 2017.
- F3These 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.