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Nasdaq · USD

SNOA

Sonoma Pharmaceuticals, Inc.

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Tapewire entity
8177
SEC CIK
0001367083
Parsed reports
129

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 09, 2026 Filed Jul 10, 2026 00:47 UTC GrantStock option (right to buy) · Derivative 10,000 Not disclosed Strike: $1.26 Not disclosed
Disclosure

SEC source: 0001683168-26-005423 · ownership.xml · derivative · entry 1

Weigerstorfer Philippe · CIK 0001751449 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,001

Underlying: Common Stock · 10,000 shares

Expires 2036-07-09

F2 · price: The options were awarded and granted to Mr. Weigerstorfer for services performed on the Board of Directors.

F1 · derivative.exercise_date: The options vest one third each on 7/9/2027, 7/9/2028 and 7/9/2029, or upon change of control.

Read SEC document
July 09, 2026 Filed Jul 10, 2026 00:47 UTC GrantStock option (right to buy) · Derivative 10,000 Not disclosed Strike: $1.26 Not disclosed
Disclosure

SEC source: 0001683168-26-005421 · ownership.xml · derivative · entry 1

MCLAUGHLIN JOHN · CIK 0001203240 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,001

Underlying: Common Stock · 10,000 shares

Expires 2036-07-09

F2 · price: The options were awarded and granted to Mr. McLaughlin for services performed on the Board of Directors.

F1 · derivative.exercise_date: The options vest one third each on 7/9/2027, 7/9/2028 and 7/9/2029, or upon change of control.

Read SEC document
July 09, 2026 Filed Jul 10, 2026 00:47 UTC
Trombly Amy MossChief Executive Officer
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-26-005422 · ownership.xml · derivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,185

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Ms. Trombly for services performed.

F2 · derivative.exercise_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

Read SEC document
July 09, 2026 Filed Jul 10, 2026 00:47 UTC GrantStock option (right to buy) · Derivative 10,000 Not disclosed Strike: $1.26 Not disclosed
Disclosure

SEC source: 0001683168-26-005420 · ownership.xml · derivative · entry 1

Jacoby Vanessa · CIK 0002110126 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 10,000 shares

Expires 2036-07-09

F2 · price: The options were awarded and granted to Ms. Jacoby for services performed on the Board of Directors.

F1 · derivative.exercise_date: The options vest one third each on 7/9/2027, 7/9/2028 and 7/9/2029, or upon change of control.

Read SEC document
July 09, 2026 Filed Jul 10, 2026 00:46 UTC
DVONCH JEROME JChief Financial Officer
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-26-005419 · ownership.xml · derivative · entry 1

DVONCH JEROME J · CIK 0001518735 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,391

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Dvonch for services performed.

F2 · derivative.exercise_date: The RSUs on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs on the third anniversary of the grant date, or upon change of control.

Read SEC document
July 09, 2026 Filed Jul 10, 2026 00:46 UTC GrantRestricted Stock Units · Derivative 7,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-26-005418 · ownership.xml · derivative · entry 1

Dal Poggetto John · CIK 0001791040 · Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,750

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Dal Poggetto for services performed.

F2 · derivative.exercise_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

Read SEC document
January 02, 2026 Filed Jan 2, 2026 22:25 UTC GrantStock option (right to buy) · Derivative 10,000 Not disclosed Strike: $3.68 Not disclosed
Disclosure

SEC source: 0001683168-26-000045 · ownership.xml · derivative · entry 1

Weigerstorfer Philippe · CIK 0001751449 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

Underlying: Common Stock · 10,000 shares

Expires 2036-01-02

F2 · price: The options were awarded and granted to Mr. Weigerstorfer for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 1/2/2027, 1/2/2028 and 1/2/2029, or upon change of control.

Read SEC document
January 02, 2026 Filed Jan 2, 2026 22:22 UTC GrantStock option (right to buy) · Derivative 10,000 Not disclosed Strike: $3.68 Not disclosed
Disclosure

SEC source: 0001683168-26-000036 · ownership.xml · derivative · entry 1

MCLAUGHLIN JOHN · CIK 0001203240 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

Underlying: Common Stock · 10,000 shares

Expires 2036-01-02

F2 · price: The options were awarded and granted to Mr. McLaughlin for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 1/2/2027, 1/2/2028 and 1/2/2029, or upon change of control.

Read SEC document
January 02, 2026 Filed Jan 2, 2026 22:24 UTC
Trombly Amy MossChief Executive Officer
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-26-000042 · ownership.xml · derivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,185

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Ms. Trombly for services performed.

F2 · derivative.exercise_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

Read SEC document
January 02, 2026 Filed Jan 2, 2026 22:22 UTC
DVONCH JEROME JChief Financial Officer
GrantRestricted Stock Units · Derivative 5,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-26-000032 · ownership.xml · derivative · entry 1

DVONCH JEROME J · CIK 0001518735 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,391

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Dvonch for services performed.

F2 · derivative.exercise_date: The RSUs on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs on the third anniversary of the grant date, or upon change of control.

Read SEC document
January 02, 2026 Filed Jan 2, 2026 22:21 UTC GrantRestricted Stock Units · Derivative 5,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-26-000031 · ownership.xml · derivative · entry 1

Dal Poggetto John · CIK 0001791040 · Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,250

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Dal Poggetto for services performed.

F2 · derivative.exercise_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

Read SEC document
January 02, 2026 Filed Jan 2, 2026 22:20 UTC GrantStock option (right to buy) · Derivative 10,000 Not disclosed Strike: $3.68 Not disclosed
Disclosure

SEC source: 0001683168-26-000030 · ownership.xml · derivative · entry 1

Birnbaum Jay E · CIK 0001397470 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

Underlying: Common Stock · 10,000 shares

Expires 2036-01-02

F2 · price: The options were awarded and granted to Mr. Birnbaum for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 1/2/2027, 1/2/2028 and 1/2/2029, or upon change of control.

Read SEC document
June 19, 2025 Filed Jun 20, 2025 21:00 UTC GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-25-004663 · ownership.xml · derivative · entry 1

Dal Poggetto John · CIK 0001791040 · Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,250

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Dal Poggetto for services performed.

F2 · derivative.exercise_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

Read SEC document
June 19, 2025 Filed Jun 20, 2025 21:00 UTC
Thornton BruceExecutive VP and COO
GrantRestricted Stock Units · Derivative 13,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-25-004664 · ownership.xml · derivative · entry 1

Thornton Bruce · CIK 0001383288 · Executive VP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,191

Underlying: Common Stock · 13,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Thornton for services performed.

F2 · derivative.exercise_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

Read SEC document
June 19, 2025 Filed Jun 20, 2025 21:00 UTC
DVONCH JEROME JChief Financial Officer
GrantRestricted Stock Units · Derivative 13,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-25-004662 · ownership.xml · derivative · entry 1

DVONCH JEROME J · CIK 0001518735 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,515

Underlying: Common Stock · 13,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Dvonch for services performed.

F2 · derivative.exercise_date: The RSUs on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs on the third anniversary of the grant date, or upon change of control.

Read SEC document
June 19, 2025 Filed Jun 20, 2025 21:00 UTC
Trombly Amy MossChief Executive Officer
GrantRestricted Stock Units · Derivative 13,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-25-004661 · ownership.xml · derivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,185

Underlying: Common Stock · 13,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Ms. Trombly for services performed.

F2 · derivative.exercise_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest on the third anniversary of the grant date, or upon change of control.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 22:02 UTC GrantStock option (right to buy) · Derivative 7,500 Not disclosed Strike: $2.68 Not disclosed
Disclosure

SEC source: 0001683168-25-000080 · ownership.xml · derivative · entry 1

Weigerstorfer Philippe · CIK 0001751449 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,001

Underlying: Common Stock · 7,500 shares

Expires 2035-01-02

F2 · price: The options were awarded and granted to Mr. Weigerstorfer for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 1/2/2026, 1/2/2027 and 1/2/2028, or upon change of control.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 22:02 UTC GrantStock option (right to buy) · Derivative 7,500 Not disclosed Strike: $2.68 Not disclosed
Disclosure

SEC source: 0001683168-25-000082 · ownership.xml · derivative · entry 1

MCLAUGHLIN JOHN · CIK 0001203240 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,044

Underlying: Common Stock · 7,500 shares

Expires 2035-01-02

F2 · price: The options were awarded and granted to Mr. McLaughlin for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 1/2/2026, 1/2/2027 and 1/2/2028, or upon change of control.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 22:02 UTC
Thornton BruceExecutive VP & COO
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-25-000084 · ownership.xml · derivative · entry 1

Thornton Bruce · CIK 0001383288 · Executive VP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,691

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Thornton for services performed as part of the Company's annual equity grant.

F2 · derivative.exercise_date: The RSUs vest one-third each on July 2, 2025, July 2, 2026 and January 2, 2027, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest one-third each on July 2, 2025, July 2, 2026 and January 2, 2027, or upon change of control.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 22:02 UTC GrantStock option (right to buy) · Derivative 7,500 Not disclosed Strike: $2.68 Not disclosed
Disclosure

SEC source: 0001683168-25-000083 · ownership.xml · derivative · entry 1

Birnbaum Jay E · CIK 0001397470 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,029

Underlying: Common Stock · 7,500 shares

Expires 2035-01-02

F2 · price: The options were awarded and granted to Mr. Birnbaum for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 1/2/2026, 1/2/2027 and 1/2/2028, or upon change of control.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 22:02 UTC
DVONCH JEROME JChief Financial Officer
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-25-000079 · ownership.xml · derivative · entry 1

DVONCH JEROME J · CIK 0001518735 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,891

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Dvonch for services performed as part of the Company's annual equity grant.

F2 · derivative.exercise_date: The RSUs vest one-third each on July 2, 2025, July 2, 2026 and January 2, 2027, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest one-third each on July 2, 2025, July 2, 2026 and January 2, 2027, or upon change of control.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 22:02 UTC
Trombly Amy MossChief Executive Officer
GrantRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-25-000081 · ownership.xml · derivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,685

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Ms. Trombly for services performed as part of the Company's annual equity grant.

F2 · derivative.exercise_date: The RSUs vest one-third each on July 2, 2025, July 2, 2026 and January 2, 2027, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest one-third each on July 2, 2025, July 2, 2026 and January 2, 2027, or upon change of control.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 22:02 UTC GrantRestricted Stock Units · Derivative 7,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001683168-25-000078 · ownership.xml · derivative · entry 1

Dal Poggetto John · CIK 0001791040 · Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,250

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

F3 · price: The RSUs were awarded and granted to Mr. Dal Poggetto for services performed as part of the Company's annual equity grant.

F2 · derivative.exercise_date: The RSUs vest one-third each on July 2, 2025, July 2, 2026 and January 2, 2027, or upon change of control.

F2 · derivative.expiration_date: The RSUs vest one-third each on July 2, 2025, July 2, 2026 and January 2, 2027, or upon change of control.

Read SEC document
June 20, 2024 Filed Jun 21, 2024 21:05 UTC
Thornton BruceExecutive Vice President
GrantCommon Stock, $0.0001 par value 53,586 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-24-004425 · ownership.xml · nonDerivative · entry 1

Thornton Bruce · CIK 0001383288 · Executive Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,411

F1 · price: The shares of common stock were awarded and granted as Restricted Stock Units to Mr. Thornton for services performed as part of the Company's annual bonus compensation to executives. The shares vested in full on the grant date.

Read SEC document
June 20, 2024 Filed Jun 21, 2024 21:06 UTC
Trombly Amy MossChief Executive Officer
GrantCommon Stock, $0.0001 par value 53,586 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-24-004426 · ownership.xml · nonDerivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,586

F1 · price: The shares of common stock were awarded and granted as Restricted Stock Units to Ms. Trombly for services performed as part of the Company's annual bonus compensation to executives. The shares vested in full on the grant date.

Read SEC document
June 20, 2024 Filed Jun 21, 2024 21:05 UTC
DVONCH JEROME JChief Financial Officer
GrantCommon Stock, $0.0001 par value 53,586 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-24-004424 · ownership.xml · nonDerivative · entry 1

DVONCH JEROME J · CIK 0001518735 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,595

F1 · price: The shares of common stock were awarded and granted as Restricted Stock Units to Mr. Dvonch for services performed as part of the Company's annual bonus compensation to executives. The shares vested in full on the grant date.

Read SEC document
June 20, 2024 Filed Jun 21, 2024 21:05 UTC GrantCommon Stock, $0.0001 par value 15,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-24-004423 · ownership.xml · nonDerivative · entry 1

Dal Poggetto John · CIK 0001791040 · Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

F1 · price: The shares of common stock were awarded and granted as Restricted Stock Units to Mr. Dal Poggetto for services performed as part of the Company's annual bonus compensation to executives. The shares vested in full on the grant date.

Read SEC document
December 29, 2023 Filed Dec 29, 2023 22:26 UTC
Trombly Amy MossChief Executive Officer
GrantStock option (right to buy) · Derivative 60,000 Not disclosed Strike: $0.18 Not disclosed
Disclosure

SEC source: 0001683168-23-009158 · ownership.xml · derivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,648

Underlying: Common Stock · 60,000 shares

Expires 2033-12-29

F2 · price: The options were awarded and granted to Ms. Trombly for services performed as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2024, 12/29/2025 and 12/29/2026, or upon change of control or as provided by Ms. Trombly's employment agreement.

Read SEC document
December 29, 2023 Filed Dec 29, 2023 22:25 UTC
Thornton BruceExecutive VP & COO
GrantStock option (right to buy) · Derivative 60,000 Not disclosed Strike: $0.18 Not disclosed
Disclosure

SEC source: 0001683168-23-009156 · ownership.xml · derivative · entry 1

Thornton Bruce · CIK 0001383288 · Executive VP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,781

Underlying: Common Stock · 60,000 shares

Expires 2033-12-29

F2 · price: The options were awarded and granted to Mr. Thornton for services performed as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2024, 12/29/2025 and 12/29/2026, or upon change of control or as provided by Mr. Thornton's employment agreement.

Read SEC document
December 29, 2023 Filed Dec 29, 2023 22:25 UTC GrantStock option (right to buy) · Derivative 50,000 Not disclosed Strike: $0.18 Not disclosed
Disclosure

SEC source: 0001683168-23-009154 · ownership.xml · derivative · entry 1

Dal Poggetto John · CIK 0001791040 · Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 50,000 shares

Expires 2033-12-29

F1 · price: The options were awarded and granted to Mr. Dal Poggetto for services performed as part of the Company's annual grant of stock options.

Read SEC document
December 29, 2023 Filed Dec 29, 2023 22:24 UTC
DVONCH JEROME JInterim CFO
GrantStock option (right to buy) · Derivative 60,000 Not disclosed Strike: $0.18 Not disclosed
Disclosure

SEC source: 0001683168-23-009152 · ownership.xml · derivative · entry 1

DVONCH JEROME J · CIK 0001518735 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,777

Underlying: Common Stock · 60,000 shares

Expires 2033-12-29

F2 · price: The options were awarded and granted to Mr. Dvonch for services performed as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2024, 12/29/2025 and 12/29/2026, or upon change of control.

Read SEC document
June 30, 2023 Filed Jul 3, 2023 21:00 UTC
Trombly Amy MossChief Executive Officer
GrantCommon Stock, $0.0001 par value 100,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-23-004632 · ownership.xml · nonDerivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,648

F1 · price: The shares of common stock were awarded and granted to Ms. Trombly for services performed as part of the Company's annual bonus compensation to executives.

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June 30, 2023 Filed Jul 3, 2023 21:00 UTC
Thornton BruceExecutive Vice President
GrantCommon Stock, $0.0001 par value 100,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-23-004631 · ownership.xml · nonDerivative · entry 1

Thornton Bruce · CIK 0001383288 · Executive Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,781

F1 · price: The shares of common stock were awarded and granted to Mr. Thornton for services performed as part of the Company's annual bonus compensation to executives.

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December 29, 2022 Filed Dec 30, 2022 22:02 UTC GrantStock option (right to buy) · Derivative 20,000 Not disclosed Strike: $1.08 Not disclosed
Disclosure

SEC source: 0001683168-22-008721 · ownership.xml · derivative · entry 1

Weigerstorfer Philippe · CIK 0001751449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 20,000 shares

Expires 2032-12-29

F2 · price: The options were awarded and granted to Mr. Weigerstorfer for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2023, 12/29/2024 and 12/29/2025, or upon change of control.

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December 29, 2022 Filed Dec 30, 2022 22:01 UTC GrantStock option (right to buy) · Derivative 20,000 Not disclosed Strike: $1.08 Not disclosed
Disclosure

SEC source: 0001683168-22-008718 · ownership.xml · derivative · entry 1

MCLAUGHLIN JOHN · CIK 0001203240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,252

Underlying: Common Stock · 20,000 shares

Expires 2032-12-29

F2 · price: The options were awarded and granted to Mr. McLaughlin for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2023, 12/29/2024 and 12/29/2025, or upon change of control.

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December 29, 2022 Filed Dec 30, 2022 22:02 UTC
White Chad NormanChief Financial Officer
GrantStock option (right to buy) · Derivative 9,753 Not disclosed Strike: $1.08 Not disclosed
Disclosure

SEC source: 0001683168-22-008722 · ownership.xml · derivative · entry 1

White Chad Norman · CIK 0001949607 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,753

Underlying: Common Stock · 9,753 shares

Expires 2032-12-29

F2 · price: The options were awarded and granted to Mr. White for services performed as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2023, 12/29/2024 and 12/29/2025, or upon change of control.

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December 29, 2022 Filed Dec 30, 2022 22:01 UTC
Trombly Amy MossChief Executive Officer
GrantStock option (right to buy) · Derivative 40,000 Not disclosed Strike: $1.08 Not disclosed
Disclosure

SEC source: 0001683168-22-008720 · ownership.xml · derivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,648

Underlying: Common Stock · 40,000 shares

Expires 2032-12-29

F2 · price: The options were awarded and granted to Ms. Trombly for services performed as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2023, 12/29/2024 and 12/29/2025, or upon change of control or as provided by Ms. Trombly's employment agreement.

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December 29, 2022 Filed Dec 30, 2022 22:01 UTC
Thornton BruceChief Operating Officer
GrantStock option (right to buy) · Derivative 40,000 Not disclosed Strike: $1.08 Not disclosed
Disclosure

SEC source: 0001683168-22-008719 · ownership.xml · derivative · entry 1

Thornton Bruce · CIK 0001383288 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,781

Underlying: Common Stock · 40,000 shares

Expires 2032-12-29

F2 · price: The options were awarded and granted to Mr. Thornton for services performed as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2023, 12/29/2024 and 12/29/2025, or upon change of control or as provided by Mr. Thornton's employment agreement.

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December 29, 2022 Filed Dec 30, 2022 22:00 UTC GrantStock option (right to buy) · Derivative 20,000 Not disclosed Strike: $1.08 Not disclosed
Disclosure

SEC source: 0001683168-22-008717 · ownership.xml · derivative · entry 1

Birnbaum Jay E · CIK 0001397470 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,904

Underlying: Common Stock · 20,000 shares

Expires 2032-12-29

F2 · price: The options were awarded and granted to Mr. Birnbaum for services performed on the Board of Directors as part of the Company's annual grant of stock options.

F1 · derivative.exercise_date: The options vest one third each on 12/29/2023, 12/29/2024 and 12/29/2025, or upon change of control.

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January 14, 2022 Filed Jan 15, 2022 01:34 UTC GrantStock option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.60 Not disclosed
Disclosure

SEC source: 0001683168-22-000280 · ownership.xml · derivative · entry 1

Weigerstorfer Philippe · CIK 0001751449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock · 30,000 shares

Expires 2032-01-14

F2 · price: The options were awarded and granted to Mr. Weigerstorfer for services performed on the Board of Directors.

F1 · derivative.exercise_date: The options vest 10,000 each on 07/14/2022, 07/14/2023 and 07/14/2024, or upon change of control.

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January 14, 2022 Filed Jan 15, 2022 01:32 UTC GrantStock option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.60 Not disclosed
Disclosure

SEC source: 0001683168-22-000277 · ownership.xml · derivative · entry 1

MCLAUGHLIN JOHN · CIK 0001203240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,252

Underlying: Common stock · 30,000 shares

Expires 2032-01-14

F2 · price: The options were awarded and granted to Mr. McLaughlin for services performed on the Board of Directors.

F1 · derivative.exercise_date: The options vest 10,000 each on 07/14/2022, 07/14/2023 and 07/14/2024, or upon change of control.

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January 14, 2022 Filed Jan 15, 2022 01:33 UTC GrantStock option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.60 Not disclosed
Disclosure

SEC source: 0001683168-22-000278 · ownership.xml · derivative · entry 1

Thornton Bruce · CIK 0001383288 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,781

Underlying: Common stock · 30,000 shares

Expires 2032-01-14

F2 · price: The options were awarded and granted to Mr. Thornton for services performed.

F1 · derivative.exercise_date: The options vest 10,000 each on 07/14/2022, 07/14/2023 and 07/14/2024, or upon change of control.

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January 14, 2022 Filed Jan 15, 2022 01:33 UTC
Trombly Amy MossChief Executive Officer
GrantStock option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.60 Not disclosed
Disclosure

SEC source: 0001683168-22-000279 · ownership.xml · derivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,648

Underlying: Common stock · 30,000 shares

Expires 2032-01-14

F2 · price: The options were awarded and granted to Ms. Trombly for services performed.

F1 · derivative.exercise_date: The options vest 10,000 each on 07/14/2022, 07/14/2023 and 07/14/2024, or upon change of control.

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January 14, 2022 Filed Jan 15, 2022 01:32 UTC
DVONCH JEROME JChief Financial Officer
GrantStock option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.60 Not disclosed
Disclosure

SEC source: 0001683168-22-000276 · ownership.xml · derivative · entry 1

DVONCH JEROME J · CIK 0001518735 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,777

Underlying: Common stock · 30,000 shares

Expires 2032-01-14

F2 · price: The options were awarded and granted to Mr. Dvonch for services performed.

F1 · derivative.exercise_date: The options vest 10,000 options each on 07/14/2022, 07/14/2023, 07/14/2024 and or upon a change of control.

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January 14, 2022 Filed Jan 15, 2022 01:31 UTC GrantStock option (right to buy) · Derivative 30,000 Not disclosed Strike: $4.60 Not disclosed
Disclosure

SEC source: 0001683168-22-000275 · ownership.xml · derivative · entry 1

Birnbaum Jay E · CIK 0001397470 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,904

Underlying: Common stock · 30,000 shares

Expires 2032-01-14

F2 · price: The options were awarded and granted to Mr. Birnbaum for services performed on the Board of Directors.

F1 · derivative.exercise_date: The options vest 10,000 each on 07/14/2022, 07/14/2023 and 07/14/2024, or upon change of control.

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January 07, 2021 Filed Jan 8, 2021 21:16 UTC
Trombly Amy MossChief Executive Officer
GrantStock option (right to buy) · Derivative 27,777 Not disclosed Strike: $8.03 Not disclosed
Disclosure

SEC source: 0001683168-21-000065 · ownership.xml · derivative · entry 1

Trombly Amy Moss · CIK 0001384640 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,648

Underlying: Common Stock · 27,777 shares

Expires 2031-01-07

F2 · price: The options were awarded and granted to Ms. Trombly for services performed.

F1 · derivative.exercise_date: The options vest one third each on 01/07/2022, 01/07/2023 and 01/07/2024, or upon change of control.

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January 07, 2021 Filed Jan 8, 2021 21:16 UTC
DVONCH JEROME JChief Financial Officer
GrantStock option (right to buy) · Derivative 27,777 Not disclosed Strike: $8.03 Not disclosed
Disclosure

SEC source: 0001683168-21-000066 · ownership.xml · derivative · entry 1

DVONCH JEROME J · CIK 0001518735 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,777

Underlying: Common Stock · 27,777 shares

Expires 2031-01-07

F2 · price: The options were awarded and granted to Mr. Dvonch for services performed.

F1 · derivative.exercise_date: The options vest one third each on 01/07/2022, 01/07/2023 and 01/07/2024, or upon a change of control.

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January 07, 2021 Filed Jan 13, 2021 21:50 UTC GrantStock option (right to buy) · Derivative 27,777 Not disclosed Strike: $8.03 Not disclosed
Disclosure

SEC source: 0001683168-21-000129 · ownership.xml · derivative · entry 2

Thornton Bruce · CIK 0001383288 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,377

Underlying: Common Stock · 27,777 shares

Expires 2031-01-07

F2 · price: The options were awarded and granted to Mr. Thornton for services performed.

F1 · derivative.exercise_date: The options vest one third each on 01/07/2022, 01/07/2023 and 01/07/2024 or upon change of control.

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April 23, 2020 Filed Apr 24, 2020 16:17 UTC
Edwards Robert GrantChief Financial Officer
GrantCommon Stock, $0.0001 par value 2,609 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-20-001273 · ownership.xml · nonDerivative · entry 1

Edwards Robert Grant · CIK 0001810327 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,609

F1 · price: The award will vest in three years, with the first third vesting on April 14, 2021, second third will vest on April 14, 2022 and remaining third will vest on April 14, 2023. If the Issuer terminates Mr. Edwards prior to April 14, 2021, all stock will vest immediately on the termination date. If the Issuer terminates Mr. Edwards on or after April 14, 2021, including by not renewing this agreement, all unvested stock will be forfeited. If Mr. Edwards terminates, all unvested stock will be forfeited.

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April 23, 2020 Filed Apr 24, 2020 20:15 UTC
Dal Poggetto JohnChief Financial Officer
GrantCommon Stock, $0.0001 par value 3,086 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-20-001272 · ownership.xml · nonDerivative · entry 1

Dal Poggetto John · CIK 0001791040 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,201

F1 · price: The shares were granted pursuant to the mutual separation and release agreement dated April 14, 2020.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.