SEC Form 4 · accession 0001683168-19-000117

Sonoma Pharmaceuticals, Inc. · SNOA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Robert E Miller

Other

Period of report

Jan 14, 2019

Accepted (ET)

Jan 15, 2019 · 7:16 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	holding	—	—		—	20,800	D
Common Stock^F1	holding	—	—		—	18,868	I	See Note 1

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,F2	$38.15	Jan 14, 2019	H	5,271	D	—	Jan 14, 2019	Common Stock	5,271	203,800	D
Stock option (right to buy)^F4,F2	$68.95	Jan 14, 2019	H	5,357	D	—	Jan 14, 2019	Common Stock	5,357	198,443	D
Stock option (right to buy)^F5,F2	$70.35	Jan 14, 2019	H	357	D	—	Jan 14, 2019	Common Stock	357	198,086	D
Stock option (right to buy)^F6,F2	$56.00	Jan 14, 2019	H	5,000	D	—	Jan 14, 2019	Common Stock	5,000	193,086	D
Stock option (right to buy)^F7,F2	$43.75	Jan 14, 2019	H	1,785	D	—	Jan 14, 2019	Common Stock	1,785	191,301	D
Stock option (right to buy)^F8,F2	$32.55	Jan 14, 2019	H	4,285	D	—	Jan 14, 2019	Common Stock	4,285	187,016	D
Stock option (right to buy)^F9,F2	$14.85	Jan 14, 2019	H	5,351	D	—	Jan 14, 2019	Common Stock	5,351	181,665	D
Stock option (right to buy)^F10,F2	$19.50	Jan 14, 2019	H	26,020	D	—	Jan 14, 2019	Common Stock	26,020	155,645	D
Stock option (right to buy)^F11,F2	$5.80	Jan 14, 2019	H	7,912	D	—	Jan 14, 2019	Common Stock	7,912	147,733	D
Stock option (right to buy)^F12,F2	$4.81	Jan 14, 2019	H	50,000	D	—	Jan 14, 2019	Common Stock	50,000	97,733	D
Stock option (right to buy)^F13,F2	$7.06	Jan 14, 2019	H	30,000	D	—	Jan 14, 2019	Common Stock	30,000	67,733	D
Stock option (right to buy)^F14,F2	$2.41	Jan 14, 2019	H	67,733	D	—	Jan 14, 2019	Common Stock	67,733	0	D

Explanation of responses

F1The 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.
F10The stock options were originally granted on March 4, 2014 as compensation in lieu of cash.
F11The stock options were originally granted on August 21, 2015 for the achievement of target milestones in fiscal year ended March 31, 2016.
F12The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated November 30, 2016.
F13The stock options were originally granted on April 3, 2017 in connection with his service as the Issuer's CFO.
F14The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018.
F2The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018.
F3The stock options were originally granted on March 10, 2009.
F4The stock options were originally granted on June 7, 2010 pursuant to the Issuer's 2010 Bonus Plan.
F5The stock options were originally granted on March 31, 2011 pursuant to the Issuer's 2010 Bonus Plan in lieu of cash.
F6The stock options were originally granted on June 16, 2011 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash.
F7The stock options were originally granted on March 7, 2012 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash.
F8The stock options were originally granted on August 24, 2012 pursuant to the Issuer's 2012 Bonus Plan in lieu of cash.
F9The stock options were originally granted on September 19, 2013 pursuant to the Issuer's 2013 Bonus Plan in lieu of cash.