Initial Statement of Beneficial Ownership (3)
September 06 2022 - 5:20PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Mason Christopher Scott |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/1/2022
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3. Issuer Name and Ticker or Trading Symbol
Sonos Inc [SONO]
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(Last)
(First)
(Middle)
C/O SONOS, INC., 614 CHAPALA ST. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Principal Accounting Officer / |
(Street)
SANTA BARBARA, CA 93101
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 43147.00 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | (1) | 5/24/2028 | Common Stock | 44000.00 | $15.105 | D | |
Employee Stock Option (right to buy) | (1) | 7/31/2028 | Common Stock | 25000.00 | $15.00 | D | |
Employee Stock Option (right to buy) | (1) | 8/11/2025 | Common Stock | 3392.00 | $13.56 | D | |
Employee Stock Option (right to buy) | (1) | 7/6/2026 | Common Stock | 9584.00 | $13.56 | D | |
Employee Stock Option (right to buy) | (1) | 9/7/2026 | Common Stock | 51508.00 | $13.56 | D | |
Employee Stock Option (right to buy) | (1) | 5/21/2027 | Common Stock | 32000.00 | $13.56 | D | |
Employee Stock Option (right to buy) | (1) | 7/31/2024 | Common Stock | 70000.00 | $11.275 | D | |
Restricted Stock Units | (3) | (3) | Common Stock | 1524.00 | (2) | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 5226.00 | (2) | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 19504.00 | (2) | D | |
Restricted Stock Units | (6) | (6) | Common Stock | 9243.00 | (2) | D | |
Restricted Stock Units | (7) | (7) | Common Stock | 8910.00 | (2) | D | |
Restricted Stock Units | (8) | (8) | Common Stock | 13944.00 | (2) | D | |
Explanation of Responses: |
(1) | The stock option is fully vested. |
(2) | Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration. |
(3) | 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date beginning February 15, 2021, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration. |
(4) | 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration. |
(5) | 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration. |
(6) | 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration. |
(7) | 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2021, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration. |
(8) | One half of the shares subject to the RSUs will vest on each annual anniversary date following the vesting commencement date of February 15, 2022, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double - trigger acceleration. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mason Christopher Scott C/O SONOS, INC. 614 CHAPALA ST. SANTA BARBARA, CA 93101 |
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| Principal Accounting Officer |
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Signatures
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/s/ Robert Capilupi, by power of attorney | | 9/6/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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