Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Sonoma Pharmaceuticals, Inc.SNOA · Entity 8177 | Exe. VP of Research and Dev. | June 29, 2017 | June 30, 2017 |
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.
Sonoma Pharmaceuticals, Inc.
Report date June 29, 2017 · Filed June 30, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Shares Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | Direct | 8,082 |
Reported balance
After 2017-06-29 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-06-29 · Grant · Acquired 3,404 · Balance 8,082 F1: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
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 |
|---|---|---|---|---|---|---|
| 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 | 3,404 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-17-001689 · northey_f4.xml · nonDerivative · entry 1 Northey Robert Allen · CIK 0001652051 · Exe. VP of Research and Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,082 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 | 17,000 | Not disclosed Strike: $7.06 | Not disclosed |
DisclosureSEC source: 0001683168-17-000822 · northey_frm4.xml · derivative · entry 1 Northey Robert Allen · CIK 0001652051 · Exec. VP of Res & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,310 Underlying: Common Stock · 17,000 shares Expires 2027-04-03 F2 · price: The stock options were granted in connection with Mr. Northey's service as the Issuer's Executive Vice President of Research and Development. 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 |
| November 30, 2016 Filed Dec 2, 2016 22:31 UTC | Sonoma Pharmaceuticals, Inc. OCLS · Entity 8177 | GrantCommon Stock, $0.0001 par value per share | 4,678 | $4.81 | $22,501.18 |
DisclosureSEC source: 0001683168-16-000850 · oculus_f4-northey.xml · nonDerivative · entry 1 Northey Robert Allen · CIK 0001652051 · Exec. VP of Res & Devlpment 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,678 F1 · price: These shares were granted to Mr. Northey 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.