BERGHEIM OLAV 4
4 · Sonendo, Inc. · Filed Jul 1, 2022
Insider Transaction Report
Form 4
Sonendo, Inc.SONX
BERGHEIM OLAV
Director10% Owner
Transactions
- Award
Common Stock
2022-06-29+34,682→ 125,092 total - Award
Stock Options (Right to buy)
2022-06-29+49,586→ 49,586 totalExercise: $1.73Exp: 2032-06-28→ Common Stock (49,586 underlying)
Holdings
- 1,090,752(indirect: By LLC)
Common Stock
- 691,628(indirect: Held by Fjord Capital Partners I, L.P.)
Common Stock
- 286,673(indirect: Held by Fjordinvest (Cayman) II Ltd.)
Common Stock
- 24,906(indirect: By IRA)
Common Stock
- 131,302(indirect: By LLC)
Common Stock
- 393,473(indirect: Held by Fjordinvest (Cayman) Ltd.)
Common Stock
- 66,464(indirect: By LLC)
Common Stock
Footnotes (8)
- [F1]Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.
- [F2]Mr. Bergheim is the president of Micro LLC, the managing member of Fjordinvest LLC, and is the manager of Fjordinvest LLC. Mr. Bergheim exercises voting and dispositive power over the shares held by Fjordinvest LLC. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F3]Mr. Bergheim is the chief executive officer of Fjordinvest (Cayman) Ltd. and exercises voting and dispositive power over the shares held by Fjordinvest (Cayman) Ltd. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F4]Mr. Bergheim is the president of Fjord Ventures LLC and exercises voting and dispositive power over the shares held by Fjord Ventures LLC. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares
- [F5]Mr. Bergheim is the manager of Fjord Venture Partners I, LLC, the general partner of Fjord Capital Partners I, LP, and exercises voting and dispositive power over the shares held Fjord Capital Partners I, LP. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F6]Mr. Bergheim is the chief executive officer of Fjordinvest (Cayman) II Ltd. and exercises voting and dispositive power over the shares held by Fjordinvest (Cayman) II Ltd. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F7]Held by PENSCO Trust Company, Custodian, FBO Olav Bergheim.
- [F8]The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.