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 | 188,087 |
Reported balance
After 2019-01-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-01-14 · Other · Disposed 5,271 · Balance 188,087 F2: The stock options were originally granted on March 10, 2009. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $66.85 · Expires 2019-01-14 | Direct | 184,516 |
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 3,571 · Balance 184,516 F3: The stock options were originally granted on February 10, 2010. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $68.95 · Expires 2019-01-14 | Direct | 182,731 |
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 1,785 · Balance 182,731 F4: The stock options were originally granted on June 7, 2010 pursuant to the Issuer's 2010 Bonus Plan. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $70.35 · Expires 2019-01-14 | Direct | 178,803 |
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 3,928 · Balance 178,803 F5: The stock options were originally granted on March 31, 2011 pursuant to the Issuer's 2010 Bonus Plan in lieu of cash. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $56.00 · Expires 2019-01-14 | Direct | 177,375 |
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 1,428 · Balance 177,375 F6: The stock options were originally granted on June 16, 2011 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $43.75 · Expires 2019-01-14 | Direct | 172,018 |
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 5,357 · Balance 172,018 F7: The stock options were originally granted on March 7, 2012 pursuant to the Issuer's 2011 Bonus Plan. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.55 · Expires 2019-01-14 | Direct | 167,733 |
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 167,733 F8: The stock options were originally granted on August 24, 2012 pursuant to the Issuer's 2012 Bonus Plan in lieu of cash. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.00 · Expires 2019-01-14 | Direct | 147,733 |
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 20,000 · Balance 147,733 F9: The stock options were originally granted on September 19, 2013 pursuant to the Issuer's entry into a new employment agreement with him, effective June 02, 2013. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| 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 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-01-14 · Other · Disposed 50,000 · Balance 97,733 F10: The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated July 26, 2016. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| 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 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-01-14 · Other · Disposed 30,000 · Balance 67,733 F11: The stock options were originally granted on April 3, 2017 in connection with his services as the Issuer's CEO. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| 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 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2019-01-14 · Other · Disposed 67,733 · Balance 0 F12: The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018. F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
| Common StockSEC Table I · non-derivative | Direct | 35,858 |
Reported balance
Holding disclosure · report date 2019-01-14 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 35,858 |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018.
F2: The stock options were originally granted on March 10, 2009.
F3: The stock options were originally granted on February 10, 2010.
F4: The stock options were originally granted on June 7, 2010 pursuant to the Issuer's 2010 Bonus Plan.
F5: The stock options were originally granted on March 31, 2011 pursuant to the Issuer's 2010 Bonus Plan in lieu of cash.
F6: The stock options were originally granted on June 16, 2011 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash.
F7: The stock options were originally granted on March 7, 2012 pursuant to the Issuer's 2011 Bonus Plan.
F8: The stock options were originally granted on August 24, 2012 pursuant to the Issuer's 2012 Bonus Plan in lieu of cash.
F9: The stock options were originally granted on September 19, 2013 pursuant to the Issuer's entry into a new employment agreement with him, effective June 02, 2013.
F10: The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated July 26, 2016.
F11: The stock options were originally granted on April 3, 2017 in connection with his services as the Issuer's CEO.
F12: The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018.
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 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 67,733 | Not disclosed Strike: $2.41 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 12 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 67,733 shares Expires 2019-01-14 F12 · price: The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 30,000 | Not disclosed Strike: $7.06 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 11 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,733 Underlying: Common Stock · 30,000 shares Expires 2019-01-14 F11 · price: The stock options were originally granted on April 3, 2017 in connection with his services as the Issuer's CEO. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 50,000 | Not disclosed Strike: $4.81 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 10 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,733 Underlying: Common Stock · 50,000 shares Expires 2019-01-14 F10 · price: The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated July 26, 2016. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 20,000 | Not disclosed Strike: $30.00 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 9 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,733 Underlying: Common Stock · 20,000 shares Expires 2019-01-14 F9 · price: The stock options were originally granted on September 19, 2013 pursuant to the Issuer's entry into a new employment agreement with him, effective June 02, 2013. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 4,285 | Not disclosed Strike: $32.55 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 8 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,733 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. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 5,357 | Not disclosed Strike: $43.75 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 7 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,018 Underlying: Common Stock · 5,357 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. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 1,428 | Not disclosed Strike: $56.00 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 6 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,375 Underlying: Common Stock · 1,428 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. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 3,928 | Not disclosed Strike: $70.35 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 5 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,803 Underlying: Common Stock · 3,928 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. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 1,785 | Not disclosed Strike: $68.95 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 4 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,731 Underlying: Common Stock · 1,785 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. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 3,571 | Not disclosed Strike: $66.85 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 3 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,516 Underlying: Common Stock · 3,571 shares Expires 2019-01-14 F3 · price: The stock options were originally granted on February 10, 2010. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | OtherStock option (right to buy) · Derivative | 5,271 | Not disclosed Strike: $38.15 | Not disclosed |
DisclosureSEC source: 0001683168-19-000118 · ownership.xml · derivative · entry 2 Schutz James J · CIK 0001367079 · Former CEO and Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,087 Underlying: Common Stock · 5,271 shares Expires 2019-01-14 F2 · price: The stock options were originally granted on March 10, 2009. F1 · 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. Schutz, dated December 13, 2018. Read SEC document |
| July 20, 2018 Filed Jul 24, 2018 22:57 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | GrantStock option (right to buy) · Derivative | 67,733 | Not disclosed Strike: $2.41 | Not disclosed |
DisclosureSEC source: 0001683168-18-002014 · ownership.xml · derivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,358 Underlying: Common Stock · 67,733 shares Expires 2028-07-20 F1 · price: The options were awarded and granted to Mr. Schutz as a bonus for fiscal year 2018. Read SEC document |
| March 08, 2018 Filed Mar 9, 2018 00:17 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 2,473 | $3.99 | $9,867.27 |
DisclosureSEC source: 0001683168-18-000628 · schutz_f4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,858 Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 02:42 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | GrantCommon Stock, $0.0001 par value per share | 17,211 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-18-000040 · schutz_f4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,385 F1 · price: The stock was granted by the Issuer as a bonus for services and vests immediately. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:03 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 345 | $4.95 | $1,707.75 |
DisclosureSEC source: 0001683168-17-003218 · schutz_f4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,174 Read SEC document |
| November 29, 2017 Filed Nov 29, 2017 23:56 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 400 | $5.03 | $2,012.00 |
DisclosureSEC source: 0001683168-17-003172 · schutz_f4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,829 Read SEC document |
| November 24, 2017 Filed Nov 27, 2017 21:03 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value per share | 254 | $5.05 | $1,282.70 |
DisclosureSEC source: 0001683168-17-003155 · schutz_frm4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,429 Read SEC document |
| August 10, 2017 Filed Aug 10, 2017 21:12 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, $0.0001 par value | 929 | $5.46 | $5,069.46 |
DisclosureSEC source: 0001683168-17-002034 · schutz_f4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,175 Read SEC document |
| June 29, 2017 Filed Jun 30, 2017 20:19 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | GrantRestricted Shares Common Stock, $0.0001 par value per share | 2,406 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-17-001690 · schutz_f4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,246 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 21:16 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | GrantStock option (right to buy) · Derivative | 30,000 | Not disclosed Strike: $7.06 | Not disclosed |
DisclosureSEC source: 0001683168-17-000823 · schutz_frm4.xml · derivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,658 Underlying: Common Stock · 30,000 shares Expires 2027-04-03 F2 · price: The stock options were granted in connection with Mr. Schutz's service as the Issuer's Chief Executive 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 03, 2017 Filed Mar 7, 2017 21:02 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, par value $0.0001 per share | 104 | $6.75 | $702.00 |
DisclosureSEC source: 0001683168-17-000511 · schutz_frm4.xml · nonDerivative · entry 2 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,840 Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 21:02 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock, par value $0.0001 per share | 696 | $6.78 | $4,718.88 |
DisclosureSEC source: 0001683168-17-000511 · schutz_frm4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,736 Read SEC document |
| December 08, 2016 Filed Dec 8, 2016 23:12 UTC | Sonoma Pharmaceuticals, Inc. SNOA · Entity 8177 | PurchaseCommon Stock | 1,000 | $4.88 | $4,880.00 |
DisclosureSEC source: 0001683168-16-000886 · schutz_f4.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,040 Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 22:32 UTC | Sonoma Pharmaceuticals, Inc. OCLS · Entity 8177 | GrantStock option (right to buy) · Derivative | 50,000 | Not disclosed Strike: $4.81 | Not disclosed |
DisclosureSEC source: 0001683168-16-000851 · oculus_f4-schutz.xml · derivative · entry 2 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,658 Underlying: Common Stock · 50,000 shares Expires 2026-11-30 F2 · price: The stock options were granted to Mr. Schutz as a signing bonus for his employment agreement dated July 26, 2016. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 22:32 UTC | Sonoma Pharmaceuticals, Inc. OCLS · Entity 8177 | GrantCommon Stock | 3,535 | $4.81 | $17,003.35 |
DisclosureSEC source: 0001683168-16-000851 · oculus_f4-schutz.xml · nonDerivative · entry 1 Schutz James J · CIK 0001367079 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,040 F1 · price: These shares were granted to Mr. Schutz as bonus compensation for his achievements in fiscal year 2016, 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.