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Nasdaq · USD

SONM

DNA X, Inc.

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8261
SEC CIK
0001178697
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132

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 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
February 09, 2026 Filed Feb 11, 2026 01:55 UTC
Crolius ClaytonChief Financial Officer
GrantCommon Stock 35,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-26-006055 · ownership.xml · nonDerivative · entry 1

Crolius Clayton · CIK 0001937013 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,719

F1 · shares: Represents the grant of restricted stock units that vest in equal monthly installments over a one-year period following the date of the grant, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 1,719 shares of common stock and (ii) 35,000 unvested restricted stock units.

F3 · balance_after: The number of securities reported herein reflects the effects of a 1-for-18 reverse stock split effected by the Issuer on October 27, 2025, which was exempt from reporting pursuant to Rule 16a-9.

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February 09, 2026 Filed Feb 11, 2026 01:53 UTC
MULICA MICHAEL CDirector · Acting CEO
GrantCommon Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-26-006053 · ownership.xml · nonDerivative · entry 1

MULICA MICHAEL C · CIK 0001211437 · Director · Acting CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,071

F1 · shares: Represents the grant of restricted stock units that vest in equal monthly installments over a one-year period following the date of the grant, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 4,071 shares of common stock and (ii) 50,000 unvested restricted stock units.

F3 · balance_after: The number of securities reported herein reflects the effects of a 1-for-18 reverse stock split effected by the Issuer on October 27, 2025, which was exempt from reporting pursuant to Rule 16a-9.

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June 30, 2025 Filed Jun 30, 2025 22:26 UTC SaleCommon Stock 400,514 $1.39 $556,714.46
Disclosure

SEC source: 0000935836-25-000440 · ownership.xml · nonDerivative · entry 2

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.30 to $1.47, inclusive.

Read SEC document
June 26, 2025 Filed Jun 30, 2025 22:26 UTC SaleCommon Stock 466,402 $1.50 $699,603.00
Disclosure

SEC source: 0000935836-25-000440 · ownership.xml · nonDerivative · entry 1

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,514

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.28 to $1.75, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote and footnote 2.

Read SEC document
April 23, 2025 Filed Apr 25, 2025 12:35 UTC
Becher CharlesSee Remarks
SaleCommon Stock 31,326 $1.45 $45,422.70
Disclosure

SEC source: 0001641172-25-006115 · ownership.xml · nonDerivative · entry 1

Becher Charles · CIK 0001775310 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,668

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.43 to $1.45, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
April 23, 2025 Filed Apr 25, 2025 12:35 UTC SaleCommon Stock 27,818 $1.45 $40,336.10
Disclosure

SEC source: 0001641172-25-006118 · ownership.xml · nonDerivative · entry 1

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,292

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.45, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
April 23, 2025 Filed Apr 25, 2025 12:35 UTC
Crolius ClaytonChief Financial Officer
SaleCommon Stock 11,634 $1.45 $16,869.30
Disclosure

SEC source: 0001641172-25-006117 · ownership.xml · nonDerivative · entry 1

Crolius Clayton · CIK 0001937013 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,958

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.45, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
April 23, 2025 Filed Apr 25, 2025 12:35 UTC
Wang JeffreyDirector
SaleCommon Stock 4,478 $1.45 $6,493.10
Disclosure

SEC source: 0001641172-25-006120 · ownership.xml · nonDerivative · entry 1

Wang Jeffrey · CIK 0001935353 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,301

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.45, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
April 23, 2025 Filed Apr 25, 2025 12:35 UTC SaleCommon Stock 23,381 $1.45 $33,902.45
Disclosure

SEC source: 0001641172-25-006116 · ownership.xml · nonDerivative · entry 1

Cassano James S · CIK 0001343514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,126

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.45, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
April 23, 2025 Filed Apr 25, 2025 12:35 UTC SaleCommon Stock 23,381 $1.45 $33,902.45
Disclosure

SEC source: 0001641172-25-006119 · ownership.xml · nonDerivative · entry 1

Steenstra Jack · CIK 0001936052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,139

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.45, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
March 31, 2025 Filed Apr 2, 2025 20:30 UTC GrantCommon Stock 46,728 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-002391 · ownership.xml · nonDerivative · entry 1

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,110

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the 45th day following the date of the grant, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 32,363 shares of common stock and (ii) 68,747 unvested restricted stock units.

Read SEC document
March 31, 2025 Filed Apr 2, 2025 20:30 UTC GrantCommon Stock 46,728 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-002389 · ownership.xml · nonDerivative · entry 1

Steenstra Jack · CIK 0001936052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,520

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the 45th day following the date of the grant, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 14,770 shares of common stock and (ii) 57,750 unvested restricted stock units.

Read SEC document
March 31, 2025 Filed Apr 2, 2025 20:30 UTC GrantCommon Stock 46,728 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-002381 · ownership.xml · nonDerivative · entry 1

Cassano James S · CIK 0001343514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,507

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the 45th day following the date of the grant, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 14,757 shares of common stock and (ii) 57,750 unvested restricted stock units.

Read SEC document
February 06, 2025 Filed Feb 11, 2025 02:30 UTC
Becher CharlesSee Remarks
GrantCommon Stock 70,671 $0.00 $0.00
Disclosure

SEC source: 0001493152-25-005764 · ownership.xml · nonDerivative · entry 1

Becher Charles · CIK 0001775310 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,994

F1 · shares: Represents the grant of restricted stock units that vest in two equal installments on the 90th and 180th day following the date of the grant, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 23,323 shares of common stock and (ii) 70,671 unvested restricted stock units.

F3 · balance_after: The number of securities reported herein reflects the effects of a 1-for-10 reverse stock split effected by the Issuer on July 17, 2024, which was exempt from reporting pursuant to Rule 16a-9.

Read SEC document
February 06, 2025 Filed Feb 11, 2025 02:30 UTC
Crolius ClaytonChief Financial Officer
GrantCommon Stock 33,922 $0.00 $0.00
Disclosure

SEC source: 0001493152-25-005765 · ownership.xml · nonDerivative · entry 1

Crolius Clayton · CIK 0001937013 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,592

F1 · shares: Represents the grant of restricted stock units that vest in two equal installments on the 90th and 180th day following the date of the grant, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 8,670 shares of common stock and (ii) 33,922 unvested restricted stock units.

F3 · balance_after: The number of securities reported herein reflects the effects of a 1-for-10 reverse stock split effected by the Issuer on July 17, 2024, which was exempt from reporting pursuant to Rule 16a-9.

Read SEC document
February 06, 2025 Filed Feb 11, 2025 02:30 UTC
Liu Hao PeterDirector · Chief Executive Officer
GrantCommon Stock 63,604 $0.00 $0.00
Disclosure

SEC source: 0001493152-25-005766 · ownership.xml · nonDerivative · entry 1

Liu Hao Peter · CIK 0001925315 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 269,388

F1 · shares: Represents the grant of restricted stock units that vest in two equal installments on the 90th and 180th day following the date of the grant, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 205,784 shares of common stock and (ii) 63,604 unvested restricted stock units.

F3 · balance_after: The number of securities reported herein reflects the effects of a 1-for-10 reverse stock split effected by the Issuer on July 17, 2024, which was exempt from reporting pursuant to Rule 16a-9.

Read SEC document
November 13, 2024 Filed Nov 14, 2024 21:30 UTC SaleCommon Stock 2,559 $3.28 $8,393.52
Disclosure

SEC source: 0001493152-24-045937 · ownership.xml · nonDerivative · entry 2

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,382

F4 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.27 to $3.36, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F6 · balance_after: Consists of (i) 32,363 shares of common stock and (ii) 22,019 unvested restricted stock units.

F3 · balance_after: The number of securities reported herein reflects the effects of a 1-for-10 reverse stock split effected by the Issuer on July 17, 2024, which was exempt from reporting pursuant to Rule 16a-9.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC GrantCommon Stock 14,124 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-045937 · ownership.xml · nonDerivative · entry 1

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,941

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 34,922 shares of common stock and (ii) 22,019 unvested restricted stock units.

F3 · balance_after: The number of securities reported herein reflects the effects of a 1-for-10 reverse stock split effected by the Issuer on July 17, 2024, which was exempt from reporting pursuant to Rule 16a-9.

Read SEC document
July 19, 2024 Filed Jul 23, 2024 12:05 UTC SaleCommon Stock 1,623 $3.67 $5,956.41
Disclosure

SEC source: 0001493152-24-028778 · ownership.xml · nonDerivative · entry 1

Steenstra Jack · CIK 0001936052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,792

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.67 to $3.72, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: Consists of (i) 14,770 shares of common stock and (ii) 11,022 unvested restricted stock units.

F4 · balance_after: The number of securities reported herein reflects the effects of a 1-for-10 reverse stock split effected by the Issuer on July 17, 2024, which was exempt from reporting pursuant to Rule 16a-9.

Read SEC document
July 19, 2024 Filed Jul 23, 2024 12:05 UTC SaleCommon Stock 1,623 $3.68 $5,972.64
Disclosure

SEC source: 0001493152-24-028777 · ownership.xml · nonDerivative · entry 1

Cassano James S · CIK 0001343514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,779

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.67 to $3.76, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: Consists of (i) 14,757 shares of common stock and (ii) 11,022 unvested restricted stock units.

F4 · balance_after: The number of securities reported herein reflects the effects of a 1-for-10 reverse stock split effected by the Issuer on July 17, 2024, which was exempt from reporting pursuant to Rule 16a-9.

Read SEC document
July 19, 2024 Filed Jul 23, 2024 12:05 UTC
Wang JeffreyDirector · 10% owner
SaleCommon Stock 1,623 $3.67 $5,956.41
Disclosure

SEC source: 0001493152-24-028776 · ownership.xml · nonDerivative · entry 1

Wang Jeffrey · CIK 0001935353 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,779

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.65 to $3.67, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: Consists of (i) 14,757 shares of common stock and (ii) 11,022 unvested restricted stock units.

F4 · balance_after: The number of securities reported herein reflects the effects of a 1-for-10 reverse stock split effected by the Issuer on July 17, 2024, which was exempt from reporting pursuant to Rule 16a-9.

Read SEC document
June 21, 2024 Filed Jun 24, 2024 20:25 UTC SaleCommon Stock 36,016 $0.69 $24,851.04
Disclosure

SEC source: 0001493152-24-024964 · ownership.xml · nonDerivative · entry 2

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 428,156

F3 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.69 to $0.71, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F5 · balance_after: Consists of (i) 282,534 shares of common stock and (ii) 145,622 unvested restricted stock units.

Read SEC document
June 21, 2024 Filed Jun 24, 2024 20:25 UTC SaleCommon Stock 35,882 $0.69 $24,758.58
Disclosure

SEC source: 0001493152-24-024962 · ownership.xml · nonDerivative · entry 2

Steenstra Jack · CIK 0001936052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,145

F3 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.69 to $0.74, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F5 · balance_after: Consists of (i) 132,649 shares of common stock and (ii) 141,496 unvested restricted stock units.

Read SEC document
June 21, 2024 Filed Jun 24, 2024 20:25 UTC SaleCommon Stock 36,015 $0.69 $24,850.35
Disclosure

SEC source: 0001493152-24-024963 · ownership.xml · nonDerivative · entry 2

Cassano James S · CIK 0001343514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,012

F3 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.69 to $0.71, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F5 · balance_after: Consists of (i) 132,516 shares of common stock and (ii) 141,496 unvested restricted stock units.

Read SEC document
June 21, 2024 Filed Jun 24, 2024 20:25 UTC
Wang JeffreyDirector · 10% owner
SaleCommon Stock 36,016 $0.69 $24,851.04
Disclosure

SEC source: 0001493152-24-024961 · ownership.xml · nonDerivative · entry 2

Wang Jeffrey · CIK 0001935353 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,011

F3 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are mandated by the Issuer's election under its equity incentive plan to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.69 to $0.73, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F5 · balance_after: Consists of (i) 132,515 shares of common stock and (ii) 141,496 unvested restricted stock units.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 20:25 UTC GrantCommon Stock 78,947 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-024964 · ownership.xml · nonDerivative · entry 1

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 464,172

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 318,550 shares of common stock and (ii) 145,622 unvested restricted stock units.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 20:25 UTC GrantCommon Stock 78,947 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-024962 · ownership.xml · nonDerivative · entry 1

Steenstra Jack · CIK 0001936052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,027

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 168,531 shares of common stock and (ii) 141,496 unvested restricted stock units.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 20:25 UTC GrantCommon Stock 78,947 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-024963 · ownership.xml · nonDerivative · entry 1

Cassano James S · CIK 0001343514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,027

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 168,531 shares of common stock and (ii) 141,496 unvested restricted stock units.

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June 20, 2024 Filed Jun 24, 2024 20:25 UTC
Wang JeffreyDirector · 10% owner
GrantCommon Stock 78,947 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-024961 · ownership.xml · nonDerivative · entry 1

Wang Jeffrey · CIK 0001935353 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,027

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 168,531 shares of common stock and (ii) 141,496 unvested restricted stock units.

Read SEC document
April 08, 2024 Filed Apr 10, 2024 00:58 UTC
Crolius ClaytonChief Financial Officer
GrantEmployee Stock Option (Right-to-Buy) · Derivative 170,000 $0.00 Strike: $0.62 $0.00
Disclosure

SEC source: 0001493152-24-014120 · ownership.xml · derivative · entry 1

Crolius Clayton · CIK 0001937013 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock · 170,000 shares

Expires 2034-04-08

F1 · derivative.exercise_date: The options will vest over the next three (3) years in equal yearly installments on each anniversary of the grant date.

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January 09, 2024 Filed Jan 10, 2024 23:30 UTC GrantCommon Stock 66,675 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-001982 · ownership.xml · nonDerivative · entry 1

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 385,225

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of November 12, 2024, a change in control of the Issuer, or the Reporting Person's death or disability. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 229,025 shares of common stock and (ii) 156,200 unvested restricted stock units.

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December 26, 2023 Filed Dec 28, 2023 22:30 UTC
Becher CharlesSee Remarks
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.42 $0.00
Disclosure

SEC source: 0001493152-23-046419 · ownership.xml · derivative · entry 2

Becher Charles · CIK 0001775310 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 125,000 shares

Expires 2032-08-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The options will vest in eleven (11) equal quarterly installments from February 29, 2024 to August 29, 2026. The options become exercisable upon vesting.

F1 · balance_after: The options will vest in eleven (11) equal quarterly installments from February 29, 2024 to August 29, 2026. The options become exercisable upon vesting.

Read SEC document
December 26, 2023 Filed Dec 28, 2023 22:30 UTC
Becher CharlesSee Remarks
Exercise / conversionCommon Stock 125,000 $0.42 $52,375.00
Disclosure

SEC source: 0001493152-23-046419 · ownership.xml · nonDerivative · entry 1

Becher Charles · CIK 0001775310 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,227

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 24, 2023 Filed Nov 27, 2023 23:35 UTC
Crolius ClaytonChief Financial Officer
GrantEmployee Stock Option (Right-to-Buy) · Derivative 200,000 $0.00 Strike: $0.70 $0.00
Disclosure

SEC source: 0001493152-23-042816 · ownership.xml · derivative · entry 1

Crolius Clayton · CIK 0001937013 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-11-24

F1 · derivative.exercise_date: The options vest in their entirety on the first anniversary of the grant date.

Read SEC document
September 28, 2023 Filed Sep 29, 2023 23:01 UTC GrantCommon Stock 89,525 $0.00 $0.00
Disclosure

SEC source: 0001493152-23-034936 · ownership.xml · nonDerivative · entry 1

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,550

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 229,025 shares of common stock and (ii) 89,525 unvested restricted stock units.

Read SEC document
September 28, 2023 Filed Sep 29, 2023 23:01 UTC GrantCommon Stock 89,525 $0.00 $0.00
Disclosure

SEC source: 0001493152-23-034934 · ownership.xml · nonDerivative · entry 1

Cassano James S · CIK 0001343514 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,080

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 79,006 shares of common stock and (ii) 152,074 unvested restricted stock units.

Read SEC document
September 28, 2023 Filed Sep 29, 2023 23:01 UTC GrantCommon Stock 89,525 $0.00 $0.00
Disclosure

SEC source: 0001493152-23-034935 · ownership.xml · nonDerivative · entry 1

Steenstra Jack · CIK 0001936052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,080

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 79,006 shares of common stock and (ii) 152,074 unvested restricted stock units.

Read SEC document
September 28, 2023 Filed Sep 29, 2023 23:01 UTC
Wang JeffreyDirector · 10% owner
GrantCommon Stock 89,525 $0.00 $0.00
Disclosure

SEC source: 0001493152-23-034933 · ownership.xml · nonDerivative · entry 1

Wang Jeffrey · CIK 0001935353 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,080

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of the Issuer, or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Consists of (i) 79,006 shares of common stock and (ii) 152,074 unvested restricted stock units.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 00:45 UTC
Crolius ClaytonChief Financial Officer
PurchaseCommon Stock 86,700 $0.68 $59,216.10
Disclosure

SEC source: 0001493152-23-032976 · ownership.xml · nonDerivative · entry 1

Crolius Clayton · CIK 0001937013 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,700

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.635 to $0.71, inclusive. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a securityholder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 23, 2023 Filed Aug 24, 2023 01:39 UTC
Liu Hao PeterDirector · Chief Executive Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 1,000,000 $0.00 Strike: $0.42 $0.00
Disclosure

SEC source: 0001493152-23-030021 · ownership.xml · derivative · entry 2

Liu Hao Peter · CIK 0001925315 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,014,419

Underlying: Common Stock · 1,000,000 shares

Expires 2032-10-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Consists of (i) 254,505 vested stock options and (ii) 2,759,914 stock options that will vest in eleven equal quarterly installments from October 14, 2023 to April 14, 2026. The options become exercisable upon vesting.

F1 · balance_after: Consists of (i) 254,505 vested stock options and (ii) 2,759,914 stock options that will vest in eleven equal quarterly installments from October 14, 2023 to April 14, 2026. The options become exercisable upon vesting.

Read SEC document
August 23, 2023 Filed Aug 24, 2023 01:39 UTC
Liu Hao PeterDirector · Chief Executive Officer
Exercise / conversionCommon Stock 1,000,000 $0.42 $419,000.00
Disclosure

SEC source: 0001493152-23-030021 · ownership.xml · nonDerivative · entry 1

Liu Hao Peter · CIK 0001925315 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,057,831

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 24, 2023 Filed Mar 28, 2023 22:00 UTC
Howe Alan BDirector
PurchaseCommon Stock 1,818 $0.60 $1,090.80
Disclosure

SEC source: 0001493152-23-009332 · ownership.xml · nonDerivative · entry 1

Howe Alan B · CIK 0001296812 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,403

Read SEC document
January 27, 2023 Filed Jan 31, 2023 23:00 UTC
Crolius ClaytonChief Financial Officer
GrantEmployee Stock Option (Right-to-Buy) · Derivative 100,000 $0.00 Strike: $0.49 $0.00
Disclosure

SEC source: 0001493152-23-003189 · ownership.xml · derivative · entry 1

Crolius Clayton · CIK 0001937013 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-01-27

F1 · derivative.exercise_date: The options vest in their entirety on the first anniversary of the grant date.

Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:45 UTC
Howe Alan BDirector
GrantCommon Stock 47,732 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-033220 · ownership.xml · nonDerivative · entry 1

Howe Alan B · CIK 0001296812 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,585

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of Sonim Technologies, Inc. (the "Issuer") or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:45 UTC GrantCommon Stock 47,732 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-033221 · ownership.xml · nonDerivative · entry 1

Principe Jose Carlos · CIK 0001941316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,426

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of Sonim Technologies, Inc. (the "Issuer") or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:45 UTC
Liu Hao PeterDirector · Chief Executive Officer
GrantEmployee Stock Option (Right-to-Buy) · Derivative 4,014,419 $0.00 Strike: $0.42 $0.00
Disclosure

SEC source: 0001493152-22-033223 · ownership.xml · derivative · entry 1

Liu Hao Peter · CIK 0001925315 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,014,419

Underlying: Common Stock · 4,014,419 shares

Expires 2032-10-26

F1 · derivative.exercise_date: The options vest over a four-year period, with one quarter (1/4) of the options vesting on April 14, 2023 (the one-year anniversary of the date of the Reporting Person's appointment as CEO of Sonim Technologies, Inc.), and all remaining options vesting in equal quarterly installments in the amount of one-twelfth (1/12) of the remaining options amount thereafter.

Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:45 UTC GrantCommon Stock 47,732 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-033219 · ownership.xml · nonDerivative · entry 1

MULICA MICHAEL C · CIK 0001211437 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,025

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of Sonim Technologies, Inc. (the "Issuer") or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:45 UTC
Wang JeffreyDirector · 10% owner
GrantCommon Stock 47,732 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-033222 · ownership.xml · nonDerivative · entry 1

Wang Jeffrey · CIK 0001935353 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,555

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of Sonim Technologies, Inc. (the "Issuer") or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 18, 2022 Filed Nov 22, 2022 02:45 UTC GrantCommon Stock 47,732 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-033218 · ownership.xml · nonDerivative · entry 1

Steenstra Jack · CIK 0001936052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,555

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of Sonim Technologies, Inc. (the "Issuer") or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 18, 2022 Filed Nov 22, 2022 22:01 UTC GrantCommon Stock 47,732 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-033376 · ownership.xml · nonDerivative · entry 1

Cassano James S · CIK 0001343514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,555

F1 · shares: Represents the grant of restricted stock units that vest in one installment on the earlier of the first anniversary of the grant date, immediately prior to the next annual meeting of stockholders, a change in control of Sonim Technologies, Inc. (the "Issuer") or the Reporting Person's death or disability, subject to the Reporting Person's continued service to the Issuer. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock.

Read SEC document

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