Schutz James J 4

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

Insider Transaction Report

Form 4

Period: 2019-01-14

Sonoma Pharmaceuticals, Inc.SNOA

Schutz James J

DirectorVice President

Transactions

Expiration (Short)
Stock option (right to buy)
2019-01-14−3,571→ 184,516 total
Exercise: $66.85Exp: 2019-01-14→ Common Stock (3,571 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−1,785→ 182,731 total
Exercise: $68.95Exp: 2019-01-14→ Common Stock (1,785 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−1,428→ 177,375 total
Exercise: $56.00Exp: 2019-01-14→ Common Stock (1,428 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)
2019-01-14−5,271→ 188,087 total
Exercise: $38.15Exp: 2019-01-14→ Common Stock (5,271 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−20,000→ 147,733 total
Exercise: $30.00Exp: 2019-01-14→ Common Stock (20,000 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)
2019-01-14−4,285→ 167,733 total
Exercise: $32.55Exp: 2019-01-14→ Common Stock (4,285 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−3,928→ 178,803 total
Exercise: $70.35Exp: 2019-01-14→ Common Stock (3,928 underlying)
Expiration (Short)
Stock option (right to buy)
2019-01-14−5,357→ 172,018 total
Exercise: $43.75Exp: 2019-01-14→ Common Stock (5,357 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)

Holdings

Common Stock
35,858

Footnotes (12)

[F1]The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018.
[F10]The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated July 26, 2016.
[F11]The stock options were originally granted on April 3, 2017 in connection with his services as the Issuer's CEO.
[F12]The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018.
[F2]The stock options were originally granted on March 10, 2009.
[F3]The stock options were originally granted on February 10, 2010.
[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.
[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 entry into a new employment agreement with him, effective June 02, 2013.

Documents

1 file

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ownership.xmlPrimary