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Chen Roy T

Disclosed activity across 1 company

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89593
SEC CIK
0001872704

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Sonendo, Inc.SONX · Entity 9738Chief Talent OfficerJune 20, 2024June 24, 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 June 20, 2024 · Filed June 24, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect233,777 Reported balance After 2024-06-20 transaction · row 1
1 source row

Row 1 · 2024-06-20 · Sale · Disposed 8,510 · Balance 233,777

F1: 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: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.082 to $0.092. 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:

Filing footnotes · ownership attribution and instrument terms

F1: 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: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.082 to $0.092. 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:

Transaction history

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 20, 2024 Filed Jun 24, 2024 14:54 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 8,510 $0.09 $732.71
Disclosure

SEC source: 0000950170-24-076614 · ownership.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,777

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 $0.082 to $0.092. 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 774 $0.09 $70.43
Disclosure

SEC source: 0001562180-24-003857 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 242,287

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.

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March 26, 2024 Filed Mar 27, 2024 18:45 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 2,625 $0.10 $273.79
Disclosure

SEC source: 0001562180-24-003026 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,061

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 5,359 $0.10 $518.22
Disclosure

SEC source: 0001562180-24-002776 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 245,686

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 740 $0.15 $111.74
Disclosure

SEC source: 0001562180-24-001078 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 251,045

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 2,166 $0.32 $695.94
Disclosure

SEC source: 0001562180-23-008557 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 251,785

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 4,633 $0.08 $347.48
Disclosure

SEC source: 0001562180-23-008401 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,951

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
December 12, 2023 Filed Dec 13, 2023 12:20 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 15,924 $0.08 $1,226.15
Disclosure

SEC source: 0001562180-23-008337 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 258,584

F1 · price: These shares were sold in multiple transactions, all of which were at a price of $0.077. 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.

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December 05, 2023 Filed Dec 6, 2023 13:08 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 26,445 $0.09 $2,409.14
Disclosure

SEC source: 0001562180-23-008151 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,508

F1 · price: These shares were sold in multiple transactions, all of which were at a price of $.0911. 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
November 02, 2023 Filed Nov 3, 2023 14:41 UTC Sonendo, Inc. SONX · Entity 9738 Tax withholdingCommon Stock 541 $0.27 $146.61
Disclosure

SEC source: 0001562180-23-007541 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,953

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 2,025 $0.79 $1,599.75
Disclosure

SEC source: 0001562180-23-007027 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,494

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 13:04 UTC Sonendo, Inc. SONX · Entity 9738 Tax withholdingCommon Stock 4,633 $0.90 $4,184.53
Disclosure

SEC source: 0001562180-23-006888 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 303,519

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
September 11, 2023 Filed Sep 12, 2023 14:33 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 440 $1.00 $440.00
Disclosure

SEC source: 0001562180-23-006823 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,152

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.00 USD to $1.00 USD; the price reported above reflects the weighted average sale price. 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
September 05, 2023 Filed Sep 6, 2023 13:01 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 300 $1.00 $300.00
Disclosure

SEC source: 0001562180-23-006723 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,592

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.00 USD to $1.00 USD; the price reported above reflects the weighted average sale price. 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
September 01, 2023 Filed Sep 5, 2023 14:50 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 3,023 $1.00 $3,023.00
Disclosure

SEC source: 0001562180-23-006676 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,892

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.00 USD to $1.00 USD; the price reported above reflects the weighted average sale price. 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
August 31, 2023 Filed Sep 5, 2023 14:50 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 1,700 $1.01 $1,712.58
Disclosure

SEC source: 0001562180-23-006675 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 311,915

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.00 USD to $1.03 USD; the price reported above reflects the weighted average sale price. 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
August 16, 2023 Filed Aug 17, 2023 17:05 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 668 $1.18 $786.04
Disclosure

SEC source: 0001562180-23-006416 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,615

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.15 USD to $1.21 USD; the price reported above reflects the weighted average sale price. 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
August 03, 2023 Filed Aug 7, 2023 15:11 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 577 $1.35 $780.33
Disclosure

SEC source: 0001562180-23-006215 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 314,283

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: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.34 to $1.36. 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 26, 2023 Filed Jun 27, 2023 17:46 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 2,084 $1.19 $2,477.46
Disclosure

SEC source: 0001562180-23-005519 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 314,860

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 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 $1.16 to $1.21. 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 16, 2023 Filed Jun 20, 2023 21:16 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 1,844 $1.09 $2,006.83
Disclosure

SEC source: 0001562180-23-005396 · primarydocument.xml · nonDerivative · entry 2

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 316,944

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 2,915 $1.12 $3,265.38
Disclosure

SEC source: 0001562180-23-005396 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 318,788

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
May 03, 2023 Filed May 4, 2023 14:19 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 679 $1.24 $842.64
Disclosure

SEC source: 0001562180-23-003929 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 321,703

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: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.27. 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 27, 2023 Filed Mar 28, 2023 16:30 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 2,505 $1.81 $4,542.57
Disclosure

SEC source: 0001562180-23-003148 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 322,382

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 $1.80 to $1.83. 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 13:07 UTC Sonendo, Inc. SONX · Entity 9738 GrantCommon Stock 214,345 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002837 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,887

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
February 03, 2023 Filed Feb 7, 2023 12:54 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 683 $2.47 $1,689.88
Disclosure

SEC source: 0001562180-23-001072 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,542

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: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.51. 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
December 27, 2022 Filed Dec 28, 2022 19:40 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 2,224 $1.50 $3,337.56
Disclosure

SEC source: 0001562180-22-008444 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,225

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 $1.44 to $1.57. 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
December 02, 2022 Filed Dec 5, 2022 18:46 UTC Sonendo, Inc. SONX · Entity 9738 GrantStock Option · Derivative 55,578 $0.00 Strike: $2.34 $0.00
Disclosure

SEC source: 0001562180-22-008085 · primarydocument.xml · derivative · entry 6

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,578

Underlying: Common Stock · 55,578 shares

Expires 2028-03-12

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 March 13, 2018 and vested as to 25% of the underlying shares of Common Stock on December 31, 2018 and with respect to the remaining shares in 36 equal monthly installments thereafter, 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 18:46 UTC Sonendo, Inc. SONX · Entity 9738 Disposition to issuerStock Option · Derivative 55,578 $0.00 Strike: $4.02 $0.00
Disclosure

SEC source: 0001562180-22-008085 · primarydocument.xml · derivative · entry 5

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,578 shares

Expires 2028-03-12

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 March 13, 2018 and vested as to 25% of the underlying shares of Common Stock on December 31, 2018 and with respect to the remaining shares in 36 equal monthly installments thereafter, 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 18:46 UTC Sonendo, Inc. SONX · Entity 9738 GrantStock Option · Derivative 38,356 $0.00 Strike: $2.34 $0.00
Disclosure

SEC source: 0001562180-22-008085 · primarydocument.xml · derivative · entry 4

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,356

Underlying: Common Stock · 38,356 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 on 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 18:46 UTC Sonendo, Inc. SONX · Entity 9738 Disposition to issuerStock Option · Derivative 38,356 $0.00 Strike: $7.01 $0.00
Disclosure

SEC source: 0001562180-22-008085 · primarydocument.xml · derivative · entry 3

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,356 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 on 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 18:46 UTC Sonendo, Inc. SONX · Entity 9738 GrantStock Option · Derivative 35,944 $0.00 Strike: $2.34 $0.00
Disclosure

SEC source: 0001562180-22-008085 · primarydocument.xml · derivative · entry 2

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,944

Underlying: Common Stock · 35,944 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 on October 28, 2021, subject to the reporting person's continued provision of service to the issuer on each vesting date.

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December 02, 2022 Filed Dec 5, 2022 18:46 UTC Sonendo, Inc. SONX · Entity 9738 Disposition to issuerStock Option · Derivative 35,944 $0.00 Strike: $12.00 $0.00
Disclosure

SEC source: 0001562180-22-008085 · primarydocument.xml · derivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,944 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 on October 28, 2021, subject to the reporting person's continued provision of service to the issuer on each vesting date.

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November 30, 2022 Filed Nov 30, 2022 20:19 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 2,250 $2.35 $5,280.53
Disclosure

SEC source: 0001562180-22-007958 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,449

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.25 to $2.43. 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.

F2 · balance_after: Includes 1,325 shares acquired under the Issuer's Employee Stock Purchase Plan on November 29, 2022.

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November 14, 2022 Filed Nov 16, 2022 16:06 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 2,756 $1.92 $5,291.24
Disclosure

SEC source: 0001562180-22-007713 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,374

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 and 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 $1.81 to $2.07. 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.

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August 16, 2022 Filed Aug 17, 2022 16:38 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 2,714 $1.48 $4,003.96
Disclosure

SEC source: 0001562180-22-006173 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,130

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 and 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 $1.44 to $1.58. 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.

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May 13, 2022 Filed May 17, 2022 19:04 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 1,058 $2.78 $2,940.29
Disclosure

SEC source: 0001562180-22-004154 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,844

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.

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March 25, 2022 Filed Mar 29, 2022 19:23 UTC Sonendo, Inc. SONX · Entity 9738 GrantCommon Stock 93,652 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002986 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,902

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.

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November 30, 2021 Filed Dec 14, 2021 16:12 UTC Sonendo, Inc. SONX · Entity 9738 Exercise / conversionCommon Stock · Derivative 2,250 $0.00 Strike: $4.02 $0.00
Disclosure

SEC source: 0001872704-21-000001 · edgar.xml · derivative · entry 2

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,578

Underlying: Common Stock · 2,250 shares

Expires 2028-03-12

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 · kind: These shares are subject to a lock-up agreement between the reporting person and BofA Securities, Inc. dated October 28, 2021 (the "Lock-up Date") pursuant to which they may not be sold until April 27, 2022.

F2 · derivative.exercise_date: The option vested as to 25% of the underlying shares of Common Stock on December 31, 2018 and with respect to the remaining shares in 36 equal monthly installments thereafter.

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November 30, 2021 Filed Dec 14, 2021 16:12 UTC Sonendo, Inc. SONX · Entity 9738 Exercise / conversionCommon Stock 2,250 $4.02 $9,045.00
Disclosure

SEC source: 0001872704-21-000001 · edgar.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

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 · kind: These shares are subject to a lock-up agreement between the reporting person and BofA Securities, Inc. dated October 28, 2021 (the "Lock-up Date") pursuant to which they may not be sold until April 27, 2022.

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November 02, 2021 Filed Nov 2, 2021 17:18 UTC Sonendo, Inc. SONX · Entity 9738 GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-042400 · doc4.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

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 November 2, 2021.

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