Miller Robert E 4

4 · Sonoma Pharmaceuticals, Inc. · Filed Jan 15, 2019

Insider Transaction Report

Form 4

Period: 2019-01-14

Sonoma Pharmaceuticals, Inc.SNOA

Miller Robert E

Chief Financial Officer

Transactions

Expiration (Short)
Stock option (right to buy)
2019-01-14−4,285→ 187,016 total
Exercise: $32.55Exp: 2019-01-14→ Common Stock (4,285 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−7,912→ 147,733 total
Exercise: $5.80Exp: 2019-01-14→ Common Stock (7,912 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−30,000→ 67,733 total
Exercise: $7.06Exp: 2019-01-14→ Common Stock (30,000 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−1,785→ 191,301 total
Exercise: $43.75Exp: 2019-01-14→ Common Stock (1,785 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−5,351→ 181,665 total
Exercise: $14.85Exp: 2019-01-14→ Common Stock (5,351 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−26,020→ 155,645 total
Exercise: $19.50Exp: 2019-01-14→ Common Stock (26,020 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−50,000→ 97,733 total
Exercise: $4.81Exp: 2019-01-14→ Common Stock (50,000 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−67,733→ 0 total
Exercise: $2.41Exp: 2019-01-14→ Common Stock (67,733 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−5,271→ 203,800 total
Exercise: $38.15Exp: 2019-01-14→ Common Stock (5,271 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−5,357→ 198,443 total
Exercise: $68.95Exp: 2019-01-14→ Common Stock (5,357 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−357→ 198,086 total
Exercise: $70.35Exp: 2019-01-14→ Common Stock (357 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−5,000→ 193,086 total
Exercise: $56.00Exp: 2019-01-14→ Common Stock (5,000 underlying)

Holdings

Common Stock
20,800
Common Stock
(indirect: See Note 1)
18,868

Footnotes (14)

[F1]The 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.
[F10]The stock options were originally granted on March 4, 2014 as compensation in lieu of cash.
[F11]The stock options were originally granted on August 21, 2015 for the achievement of target milestones in fiscal year ended March 31, 2016.
[F12]The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated November 30, 2016.
[F13]The stock options were originally granted on April 3, 2017 in connection with his service as the Issuer's CFO.
[F14]The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018.
[F2]The 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.
[F3]The stock options were originally granted on March 10, 2009.
[F4]The stock options were originally granted on June 7, 2010 pursuant to the Issuer's 2010 Bonus Plan.
[F5]The stock options were originally granted on March 31, 2011 pursuant to the Issuer's 2010 Bonus Plan in lieu of cash.
[F6]The stock options were originally granted on June 16, 2011 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash.
[F7]The stock options were originally granted on March 7, 2012 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash.
[F8]The stock options were originally granted on August 24, 2012 pursuant to the Issuer's 2012 Bonus Plan in lieu of cash.
[F9]The stock options were originally granted on September 19, 2013 pursuant to the Issuer's 2013 Bonus Plan in lieu of cash.

Documents

1 file

4
ownership.xmlPrimary