Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Sonoma Pharmaceuticals, Inc.
Report date January 14, 2019 · Filed January 16, 2019
Section 16 reporting ended · disclosed 2019-01-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $38.15 · Expires 2019-01-14 | Direct | 203,800 |
Reported balance
After 2019-01-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-01-14 · Other · Disposed 5,271 · Balance 203,800 F3: The stock options were originally granted on March 10, 2009. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $68.95 · Expires 2019-01-14 | Direct | 198,443 |
Reported balance
After 2019-01-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-01-14 · Other · Disposed 5,357 · Balance 198,443 F4: The stock options were originally granted on June 7, 2010 pursuant to the Issuer's 2010 Bonus Plan. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $70.35 · Expires 2019-01-14 | Direct | 198,086 |
Reported balance
After 2019-01-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-01-14 · Other · Disposed 357 · Balance 198,086 F5: The stock options were originally granted on March 31, 2011 pursuant to the Issuer's 2010 Bonus Plan in lieu of cash. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $56.00 · Expires 2019-01-14 | Direct | 193,086 |
Reported balance
After 2019-01-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-01-14 · Other · Disposed 5,000 · Balance 193,086 F6: The stock options were originally granted on June 16, 2011 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $43.75 · Expires 2019-01-14 | Direct | 191,301 |
Reported balance
After 2019-01-14 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-01-14 · Other · Disposed 1,785 · Balance 191,301 F7: The stock options were originally granted on March 7, 2012 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.55 · Expires 2019-01-14 | Direct | 187,016 |
Reported balance
After 2019-01-14 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-01-14 · Other · Disposed 4,285 · Balance 187,016 F8: The stock options were originally granted on August 24, 2012 pursuant to the Issuer's 2012 Bonus Plan in lieu of cash. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.85 · Expires 2019-01-14 | Direct | 181,665 |
Reported balance
After 2019-01-14 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-01-14 · Other · Disposed 5,351 · Balance 181,665 F9: The stock options were originally granted on September 19, 2013 pursuant to the Issuer's 2013 Bonus Plan in lieu of cash. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.50 · Expires 2019-01-14 | Direct | 155,645 |
Reported balance
After 2019-01-14 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-01-14 · Other · Disposed 26,020 · Balance 155,645 F10: The stock options were originally granted on March 4, 2014 as compensation in lieu of cash. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.80 · Expires 2019-01-14 | Direct | 147,733 |
Reported balance
After 2019-01-14 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-01-14 · Other · Disposed 7,912 · Balance 147,733 F11: The stock options were originally granted on August 21, 2015 for the achievement of target milestones in fiscal year ended March 31, 2016. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.81 · Expires 2019-01-14 | Direct | 97,733 |
Reported balance
After 2019-01-14 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2019-01-14 · Other · Disposed 50,000 · Balance 97,733 F12: The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated November 30, 2016. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.06 · Expires 2019-01-14 | Direct | 67,733 |
Reported balance
After 2019-01-14 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2019-01-14 · Other · Disposed 30,000 · Balance 67,733 F13: The stock options were originally granted on April 3, 2017 in connection with his service as the Issuer's CFO. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.41 · Expires 2019-01-14 | Direct | 0 |
Reported balance
After 2019-01-14 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2019-01-14 · Other · Disposed 67,733 · Balance 0 F14: The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018. F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. |
| Common StockSEC Table I · non-derivative | Direct | 20,800 |
Reported balance
Holding disclosure · report date 2019-01-14 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 20,800 |
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 18,868 |
Reported balance
Holding disclosure · report date 2019-01-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 18,868 F1: The shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees.
F2: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018.
F3: The stock options were originally granted on March 10, 2009.
F4: The stock options were originally granted on June 7, 2010 pursuant to the Issuer's 2010 Bonus Plan.
F5: The stock options were originally granted on March 31, 2011 pursuant to the Issuer's 2010 Bonus Plan in lieu of cash.
F6: The stock options were originally granted on June 16, 2011 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash.
F7: The stock options were originally granted on March 7, 2012 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash.
F8: The stock options were originally granted on August 24, 2012 pursuant to the Issuer's 2012 Bonus Plan in lieu of cash.
F9: The stock options were originally granted on September 19, 2013 pursuant to the Issuer's 2013 Bonus Plan in lieu of cash.
F10: The stock options were originally granted on March 4, 2014 as compensation in lieu of cash.
F11: The stock options were originally granted on August 21, 2015 for the achievement of target milestones in fiscal year ended March 31, 2016.
F12: The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated November 30, 2016.
F13: The stock options were originally granted on April 3, 2017 in connection with his service as the Issuer's CFO.
F14: The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 67,733 | Not disclosed Strike: $2.41 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 14 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 67,733 shares Expires 2019-01-14 F14 · price: The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 30,000 | Not disclosed Strike: $7.06 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 13 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,733 Underlying: Common Stock · 30,000 shares Expires 2019-01-14 F13 · price: The stock options were originally granted on April 3, 2017 in connection with his service as the Issuer's CFO. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 50,000 | Not disclosed Strike: $4.81 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 12 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,733 Underlying: Common Stock · 50,000 shares Expires 2019-01-14 F12 · price: The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated November 30, 2016. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 7,912 | Not disclosed Strike: $5.80 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 11 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,733 Underlying: Common Stock · 7,912 shares Expires 2019-01-14 F11 · price: The stock options were originally granted on August 21, 2015 for the achievement of target milestones in fiscal year ended March 31, 2016. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 26,020 | Not disclosed Strike: $19.50 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 10 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,645 Underlying: Common Stock · 26,020 shares Expires 2019-01-14 F10 · price: The stock options were originally granted on March 4, 2014 as compensation in lieu of cash. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 5,351 | Not disclosed Strike: $14.85 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 9 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,665 Underlying: Common Stock · 5,351 shares Expires 2019-01-14 F9 · price: The stock options were originally granted on September 19, 2013 pursuant to the Issuer's 2013 Bonus Plan in lieu of cash. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 4,285 | Not disclosed Strike: $32.55 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 8 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,016 Underlying: Common Stock · 4,285 shares Expires 2019-01-14 F8 · price: The stock options were originally granted on August 24, 2012 pursuant to the Issuer's 2012 Bonus Plan in lieu of cash. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 1,785 | Not disclosed Strike: $43.75 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 7 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,301 Underlying: Common Stock · 1,785 shares Expires 2019-01-14 F7 · price: The stock options were originally granted on March 7, 2012 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 5,000 | Not disclosed Strike: $56.00 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 6 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,086 Underlying: Common Stock · 5,000 shares Expires 2019-01-14 F6 · price: The stock options were originally granted on June 16, 2011 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 357 | Not disclosed Strike: $70.35 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 5 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,086 Underlying: Common Stock · 357 shares Expires 2019-01-14 F5 · price: The stock options were originally granted on March 31, 2011 pursuant to the Issuer's 2010 Bonus Plan in lieu of cash. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 5,357 | Not disclosed Strike: $68.95 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 4 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,443 Underlying: Common Stock · 5,357 shares Expires 2019-01-14 F4 · price: The stock options were originally granted on June 7, 2010 pursuant to the Issuer's 2010 Bonus Plan. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 5,271 | Not disclosed Strike: $38.15 | Not disclosed |
DisclosureSEC source: 0001683168-19-000117 · ownership.xml · derivative · entry 3 Miller Robert E · CIK 0001367082 · Former CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,800 Underlying: Common Stock · 5,271 shares Expires 2019-01-14 F3 · price: The stock options were originally granted on March 10, 2009. F2 · derivative.exercise_date: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Miller, dated December 13, 2018. Read SEC document |
| July 20, 2018 Filed Jul 24, 2018 22:54 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | GrantStock option (right to buy) · Derivative | 67,733 | Not disclosed Strike: $2.41 | Not disclosed |
DisclosureSEC source: 0001683168-18-002012 · ownership.xml · derivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,071 Underlying: Common Stock · 67,733 shares Expires 2028-07-20 F1 · price: The options were awarded and granted to Mr. Miller as a bonus for fiscal year 2018. Read SEC document |
| March 13, 2018 Filed Mar 15, 2018 01:30 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 1,200 | $4.10 | $4,919.52 |
DisclosureSEC source: 0001683168-18-000672 · miller_f4.xml · nonDerivative · entry 2 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 18,868 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| March 12, 2018 Filed Mar 13, 2018 21:42 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par vlue per share | 1,200 | $4.03 | $4,836.00 |
DisclosureSEC source: 0001683168-18-000658 · miller_f4.xml · nonDerivative · entry 2 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 16,468 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 01:30 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 1,200 | $4.03 | $4,836.00 |
DisclosureSEC source: 0001683168-18-000672 · miller_f4.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 17,668 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 21:42 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par vlue per share | 1,200 | $3.90 | $4,680.00 |
DisclosureSEC source: 0001683168-18-000658 · miller_f4.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 15,268 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| November 29, 2017 Filed Nov 30, 2017 22:09 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 1,290 | $5.02 | $6,475.80 |
DisclosureSEC source: 0001683168-17-003193 · miller_f4-112917.xml · nonDerivative · entry 2 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 14,068 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| November 29, 2017 Filed Nov 30, 2017 22:09 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 500 | $5.03 | $2,515.00 |
DisclosureSEC source: 0001683168-17-003193 · miller_f4-112917.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 12,778 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 21:05 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 500 | $5.04 | $2,520.00 |
DisclosureSEC source: 0001683168-17-003152 · miller_frm4.xml · nonDerivative · entry 2 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 12,278 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 21:05 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 1,500 | $5.03 | $7,545.00 |
DisclosureSEC source: 0001683168-17-003152 · miller_frm4.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 11,778 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 22:07 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value | 2,264 | $5.30 | $11,999.20 |
DisclosureSEC source: 0001683168-17-002133 · miller_f4.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 10,728 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| June 29, 2017 Filed Jun 30, 2017 20:18 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | GrantRestricted Shares Common Stock, $0.0001 par value per share | 4,124 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-17-001688 · miller_f4.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,088 F1 · security: The restricted shares will vest in equal increments of one-third over two years, e.g. one-third vests immediately on the date of the grant, one-third vests on the first anniversary of the date of the grant, or June 29, 2018, and the remaining one-third vests on the second anniversary of the date of the grant, or June 29, 2019. F2 · price: The restricted shares were granted by the Issuer as a performance bonus award pursuant to the FY2017 Bonus Plan, based on the closing price of the Issuer's common stock of $6.94 on June 29, 2017. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 21:15 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | GrantStock option (right to buy) · Derivative | 30,000 | Not disclosed Strike: $7.06 | Not disclosed |
DisclosureSEC source: 0001683168-17-000821 · miller_frm4.xml · derivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,866 Underlying: Common Stock · 30,000 shares Expires 2027-04-03 F2 · price: The stock options were granted in connection with Mr. Miller's service as the Issuer's Chief Financial Officer. F1 · derivative.exercise_date: The stock options vest in three years with the first one-third vesting on the first anniversary of the date of the grant, the second one-third vesting on the second anniversary of the date of the grant and the remainder vesting on the third anniversary of the date of the grant. Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 22:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 250 | $7.14 | $1,785.00 |
DisclosureSEC source: 0001683168-17-000551 · miller_f4.xml · nonDerivative · entry 3 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 8,464 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 22:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 250 | $6.96 | $1,740.00 |
DisclosureSEC source: 0001683168-17-000551 · miller_f4.xml · nonDerivative · entry 2 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 8,214 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 22:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 250 | $6.97 | $1,742.50 |
DisclosureSEC source: 0001683168-17-000551 · miller_f4.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 7,964 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 23:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 750 | $6.97 | $5,227.50 |
DisclosureSEC source: 0001683168-17-000533 · miller_f4.xml · nonDerivative · entry 2 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 7,714 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 23:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 250 | $6.81 | $1,702.50 |
DisclosureSEC source: 0001683168-17-000533 · miller_f4.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 6,964 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller, are the trustees. Read SEC document |
| December 08, 2016 Filed Dec 12, 2016 21:52 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 5,000 | $4.86 | $24,300.00 |
DisclosureSEC source: 0001683168-16-000915 · miller_f4.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 6,714 F1 · ownership.nature: These shares are owned by Mr. Miller as trustee for The Miller 2005 Grandchildren's Trust, for which Mr. Miller and his wife, Margaret I. Miller are the trustees. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 22:29 UTC | Sonoma Pharmaceuticals, Inc. OCLS · Entity 8177 | GrantStock option (right to buy) · Derivative | 50,000 | Not disclosed Strike: $4.81 | Not disclosed |
DisclosureSEC source: 0001683168-16-000849 · oculus_f4-miller.xml · derivative · entry 3 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,866 Underlying: Common Stock · 50,000 shares Expires 2026-11-30 F3 · price: The stock options were granted to Mr. Miller as a signing bonus for his employment agreement dated November 30, 2016. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 22:29 UTC | Sonoma Pharmaceuticals, Inc. OCLS · Entity 8177 | GrantCommon Stock, $0.0001 par value per share | 15,593 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-16-000849 · oculus_f4-miller.xml · nonDerivative · entry 1 Miller Robert E · CIK 0001367082 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,964 F1 · price: These shares were granted to Mr. Miller as bonus compensation, based on the closing price of the Corporation's common stock of $4.81 on November 30, 2016. 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.