Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Sonendo, Inc.SONX · Entity 9738 | Director · President and CEO | September 17, 2024 | September 19, 2024 |
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.
Sonendo, Inc.
Report date September 17, 2024 · Filed September 19, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,488,518 |
Reported balance
After 2024-09-17 transaction · row 1
1 source rowRow 1 · 2024-09-17 · Grant · Acquired 1,600,000 · Balance 3,488,518 F1: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock, par value $0.001 per share of Sonendo, Inc. (the "Issuer"). The RSUs will vest in 16 equal quarterly installments beginning on September 17, 2024, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting dates. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock, par value $0.001 per share of Sonendo, Inc. (the "Issuer"). The RSUs will vest in 16 equal quarterly installments beginning on September 17, 2024, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting dates.
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 |
|---|---|---|---|---|---|---|
| September 17, 2024 Filed Sep 19, 2024 17:42 UTC | Sonendo, Inc. SONX · Entity 9738 | GrantCommon Stock | 1,600,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-108209 · ownership.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,488,518 F1 · kind: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock, par value $0.001 per share of Sonendo, Inc. (the "Issuer"). The RSUs will vest in 16 equal quarterly installments beginning on September 17, 2024, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting dates. Read SEC document |
| June 21, 2024 Filed Jun 24, 2024 14:53 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 43,240 | $0.09 | $3,744.58 |
DisclosureSEC source: 0000950170-24-076612 · ownership.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,888,518 F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 3/14/2023. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction 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 $0.084 to $0.090. 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 range set forth in this footnote. Remarks: Read SEC document |
| May 03, 2024 Filed May 6, 2024 20:12 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 2,381 | $0.09 | $216.67 |
DisclosureSEC source: 0001562180-24-003858 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,931,758 F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F2 · price: These shares were sold in multiple transactions, all of which were at a price of $0.091 per share. 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 set forth in this footnote. Read SEC document |
| March 26, 2024 Filed Mar 27, 2024 18:45 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 11,493 | $0.10 | $1,198.72 |
DisclosureSEC source: 0001562180-24-003025 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,934,139 F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction 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 $0.10 to $0.11. 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 range set forth in this footnote. Read SEC document |
| March 15, 2024 Filed Mar 18, 2024 17:55 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 23,351 | $0.10 | $2,258.04 |
DisclosureSEC source: 0001562180-24-002777 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,945,632 F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions 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 $0.095 to $0.109. 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 range set forth in this footnote. Read SEC document |
| February 05, 2024 Filed Feb 5, 2024 20:35 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 2,685 | $0.15 | $405.44 |
DisclosureSEC source: 0001562180-24-001079 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,968,983 F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. Read SEC document |
| December 25, 2023 Filed Dec 26, 2023 18:04 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 11,077 | $0.32 | $3,559.04 |
DisclosureSEC source: 0001562180-23-008556 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,971,668 F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 3/25/2022. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. Read SEC document |
| December 14, 2023 Filed Dec 15, 2023 13:27 UTC | Sonendo, Inc. SONX · Entity 9738 | Tax withholdingCommon Stock | 23,510 | $0.08 | $1,763.25 |
DisclosureSEC source: 0001562180-23-008400 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,982,745 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. Read SEC document |
| November 02, 2023 Filed Nov 3, 2023 14:41 UTC | Sonendo, Inc. SONX · Entity 9738 | Tax withholdingCommon Stock | 2,101 | $0.27 | $569.37 |
DisclosureSEC source: 0001562180-23-007543 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,006,255 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. Read SEC document |
| September 25, 2023 Filed Sep 26, 2023 13:02 UTC | Sonendo, Inc. SONX · Entity 9738 | Tax withholdingCommon Stock | 10,490 | $0.79 | $8,287.10 |
DisclosureSEC source: 0001562180-23-007028 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,008,356 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. Read SEC document |
| September 14, 2023 Filed Sep 18, 2023 13:05 UTC | Sonendo, Inc. SONX · Entity 9738 | Tax withholdingCommon Stock | 23,510 | $0.90 | $21,234.23 |
DisclosureSEC source: 0001562180-23-006889 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,018,846 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. Read SEC document |
| June 16, 2023 Filed Jun 20, 2023 21:16 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 9,590 | $1.09 | $10,436.80 |
DisclosureSEC source: 0001562180-23-005397 · primarydocument.xml · nonDerivative · entry 2 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,042,356 F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person. F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.05 to $1.13. 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 range set forth in this footnote. Read SEC document |
| June 15, 2023 Filed Jun 20, 2023 21:16 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 15,166 | $1.12 | $16,988.95 |
DisclosureSEC source: 0001562180-23-005397 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,051,946 F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions 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 $1.12 to $1.22. 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 range set forth in this footnote. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 13:06 UTC | Sonendo, Inc. SONX · Entity 9738 | GrantCommon Stock | 1,087,763 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-002836 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,067,112 F1 · kind: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in 16 equal quarterly installments beginning on March 14, 2023. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 18:47 UTC | Sonendo, Inc. SONX · Entity 9738 | GrantStock Option · Derivative | 106,022 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001562180-22-008089 · primarydocument.xml · derivative · entry 8 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,022 Underlying: Common Stock · 106,022 shares Expires 2027-06-05 F1 · kind: The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options. F5 · derivative.exercise_date: The options were originally granted on September 8, 2017 and are fully vested. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 18:47 UTC | Sonendo, Inc. SONX · Entity 9738 | Disposition to issuerStock Option · Derivative | 106,022 | $0.00 Strike: $4.02 | $0.00 |
DisclosureSEC source: 0001562180-22-008089 · primarydocument.xml · derivative · entry 7 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 106,022 shares Expires 2027-06-05 F1 · kind: The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options. F5 · derivative.exercise_date: The options were originally granted on September 8, 2017 and are fully vested. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 18:47 UTC | Sonendo, Inc. SONX · Entity 9738 | GrantStock Option · Derivative | 174,721 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001562180-22-008089 · primarydocument.xml · derivative · entry 6 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,721 Underlying: Common Stock · 174,721 shares Expires 2028-09-17 F1 · kind: The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options. F4 · derivative.exercise_date: The option was originally granted on September 18, 2018 and vests in 48 equal monthly installments beginning September 18, 2018, subject to the reporting person's continued provision of service to the issuer on each vesting date. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 18:47 UTC | Sonendo, Inc. SONX · Entity 9738 | Disposition to issuerStock Option · Derivative | 174,721 | $0.00 Strike: $4.02 | $0.00 |
DisclosureSEC source: 0001562180-22-008089 · primarydocument.xml · derivative · entry 5 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 174,721 shares Expires 2028-09-17 F1 · kind: The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options. F4 · derivative.exercise_date: The option was originally granted on September 18, 2018 and vests in 48 equal monthly installments beginning September 18, 2018, subject to the reporting person's continued provision of service to the issuer on each vesting date. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 18:47 UTC | Sonendo, Inc. SONX · Entity 9738 | GrantStock Option · Derivative | 200,208 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001562180-22-008089 · primarydocument.xml · derivative · entry 4 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,208 Underlying: Common Stock · 200,208 shares Expires 2030-03-16 F1 · kind: The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options. F3 · derivative.exercise_date: The option was originally granted on March 17, 2020 and vests in 48 equal monthly installments beginning March 17, 2020, subject to the reporting person's continued provision of service to the issuer on each vesting date. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 18:47 UTC | Sonendo, Inc. SONX · Entity 9738 | Disposition to issuerStock Option · Derivative | 200,208 | $0.00 Strike: $7.01 | $0.00 |
DisclosureSEC source: 0001562180-22-008089 · primarydocument.xml · derivative · entry 3 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 200,208 shares Expires 2030-03-16 F1 · kind: The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options. F3 · derivative.exercise_date: The option was originally granted on March 17, 2020 and vests in 48 equal monthly installments beginning March 17, 2020, subject to the reporting person's continued provision of service to the issuer on each vesting date. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 18:47 UTC | Sonendo, Inc. SONX · Entity 9738 | GrantStock Option · Derivative | 139,701 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001562180-22-008089 · primarydocument.xml · derivative · entry 2 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,701 Underlying: Common Stock · 139,701 shares Expires 2031-10-27 F1 · kind: The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options. F2 · derivative.exercise_date: The option was originally granted on October 28, 2021 and vests in 16 equal quarterly installments beginning October 28,2021, subject to the reporting person's continued provision of service to the issuer on each vesting date. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 18:47 UTC | Sonendo, Inc. SONX · Entity 9738 | Disposition to issuerStock Option · Derivative | 139,701 | $0.00 Strike: $12.00 | $0.00 |
DisclosureSEC source: 0001562180-22-008089 · primarydocument.xml · derivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 139,701 shares Expires 2031-10-27 F1 · kind: The transactions reported herein involved the repricing of the reporting person's outstanding options, resulting in the cancellation of the "old" options and the grant of replacement options. There were no changes to the number of shares, the vesting schedule or the expiration date of the repriced stock options. F2 · derivative.exercise_date: The option was originally granted on October 28, 2021 and vests in 16 equal quarterly installments beginning October 28,2021, subject to the reporting person's continued provision of service to the issuer on each vesting date. Read SEC document |
| June 16, 2022 Filed Jun 17, 2022 16:35 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 28,500 | $2.25 | $64,167.75 |
DisclosureSEC source: 0001562180-22-005201 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 979,349 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.11 to $2.35, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 15, 2022 Filed Jun 16, 2022 09:02 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 16,500 | $2.17 | $35,814.90 |
DisclosureSEC source: 0001562180-22-005130 · primarydocument.xml · nonDerivative · entry 2 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 950,849 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.12 to $2.32, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 09:02 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 5,000 | $2.07 | $10,363.50 |
DisclosureSEC source: 0001562180-22-005130 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 934,349 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.04 to $2.09, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 16:04 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 1,800 | $2.75 | $4,950.00 |
DisclosureSEC source: 0001562180-22-004757 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 929,349 Read SEC document |
| May 31, 2022 Filed Jun 2, 2022 16:45 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 6,452 | $2.74 | $17,646.87 |
DisclosureSEC source: 0001562180-22-004706 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 927,549 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.725 to $2.75, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| May 25, 2022 Filed May 26, 2022 08:07 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 11,748 | $2.60 | $30,550.67 |
DisclosureSEC source: 0001562180-22-004415 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 921,097 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.58 to $2.65, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| May 24, 2022 Filed May 25, 2022 16:03 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 5,000 | $2.67 | $13,363.00 |
DisclosureSEC source: 0001562180-22-004385 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 909,349 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $2.70, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| May 23, 2022 Filed May 24, 2022 16:07 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 13,000 | $2.70 | $35,102.60 |
DisclosureSEC source: 0001562180-22-004361 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 904,349 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.63 to $2.75, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 18, 2022 Filed May 20, 2022 19:10 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 12,000 | $2.67 | $32,059.20 |
DisclosureSEC source: 0001562180-22-004313 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 891,349 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $2.70, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 17, 2022 Filed May 19, 2022 09:04 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 20,000 | $2.78 | $55,600.00 |
DisclosureSEC source: 0001562180-22-004227 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 883,450 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $2.92, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 16, 2022 Filed May 18, 2022 09:03 UTC | Sonendo, Inc. SONX · Entity 9738 | PurchaseCommon Stock | 30,000 | $2.95 | $88,500.00 |
DisclosureSEC source: 0001562180-22-004177 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 863,450 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $3.15, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| May 13, 2022 Filed May 17, 2022 19:02 UTC | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 4,101 | $2.78 | $11,397.09 |
DisclosureSEC source: 0001562180-22-004149 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 879,349 F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction 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 $2.62 to $2.90. 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 range set forth in this footnote. Read SEC document |
| May 13, 2022 Filed May 20, 2022 19:02 UTC Amendment | Sonendo, Inc. SONX · Entity 9738 | SaleCommon Stock | 4,101 | $2.78 | $11,397.09 |
DisclosureSEC source: 0001562180-22-004310 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 829,349 F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction 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 $2.62 to $2.90. 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 range set forth in this footnote. F3 · balance_after: This Form 4/A is being filed to correct an error in Column 5 of the original Form 4 filed by the Reporting Person on May 17, 2022 regarding the amount of securities beneficially owned by the Reporting Person following the transaction reported therein, which error also affected the totals reported in Column 5 of the subsequent Form 4s filed by the Reporting Person on May 18, 2022 and May 19, 2022. Read SEC document |
| March 25, 2022 Filed Mar 29, 2022 19:23 UTC | Sonendo, Inc. SONX · Entity 9738 | GrantCommon Stock | 485,327 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-002987 · primarydocument.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 833,450 F1 · acquired: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in 16 equal quarterly installments beginning on March 25, 2022. Read SEC document |
| November 02, 2021 Filed Nov 2, 2021 17:23 UTC | Sonendo, Inc. SONX · Entity 9738 | ConversionSeries A-1 Preferred Stock · Derivative | 78,983 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-042412 · doc4.xml · derivative · entry 3 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 78,983 shares Expires not disclosed 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_price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. Read SEC document |
| November 02, 2021 Filed Nov 2, 2021 17:23 UTC | Sonendo, Inc. SONX · Entity 9738 | GrantCommon Stock | 97,166 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-042412 · doc4.xml · nonDerivative · entry 2 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 348,123 F2 · acquired: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in 16 equal quarterly installments beginning on November 2, 2021. Read SEC document |
| November 02, 2021 Filed Nov 2, 2021 17:23 UTC | Sonendo, Inc. SONX · Entity 9738 | ConversionCommon Stock | 78,983 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-042412 · doc4.xml · nonDerivative · entry 1 Bergheim Bjarne · CIK 0001875434 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,957 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 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. 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.