Initial Statement of Beneficial Ownership (3)
October 15 2019 - 4:59PM
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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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
*
Dal Poggetto John |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/27/2019
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3. Issuer Name and Ticker or Trading Symbol
Sonoma Pharmaceuticals, Inc. [SNOA]
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(Last)
(First)
(Middle)
1129 N. MCDOWELL BLVD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / |
(Street)
PETALUMA, CA 94954
(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, $0.0001 par value per share | 115 | 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 |
Stock Option (right to buy) | 2/25/2010 | 2/25/2020 | Common Stock | 223 | $576.45 | D | |
Stock Option (right to buy) | 5/17/2011 | 5/17/2021 | Common Stock | 286 | $595.35 | D | |
Stock Option (right to buy) | 8/24/2015 | 8/24/2022 | Common Stock | 96 | $292.95 | D | |
Stock Option (right to buy) | 9/19/2016 | 9/19/2023 | Common Stock | 238 | $133.65 | D | |
Stock Option (right to buy) | 3/4/2017 | 3/4/2024 | Common Stock | 1648 | $175.50 | D | |
Stock Option (right to buy) | 8/21/2015 | 8/21/2025 | Common Stock | 1251 | $52.20 | D | |
Stock Option (right to buy) | (1) | 8/21/2025 | Common Stock | 420 | $52.20 | D | |
Stock Option (right to buy) | (2) | 4/11/2027 | Common Stock | 1334 | $61.92 | D | |
Explanation of Responses: |
(1) | Options vest upon the achievement of certain goals. |
(2) | Options vest in three equal tranches annually on the grant date anniversary, beginning on April 11, 2018 and becoming fully vested on April 11, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dal Poggetto John 1129 N. MCDOWELL BLVD PETALUMA, CA 94954 |
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| Chief Financial Officer |
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Signatures
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/s/ John Dal Poggetto | | 10/15/2019 |
**Signature of Reporting Person | Date |
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