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Watts Michael Patrick

Disclosed activity across 1 company

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92955
SEC CIK
0001872686

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Sonendo, Inc.SONX · Entity 9738Chief Financial OfficerMarch 15, 2024March 18, 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 March 15, 2024 · Filed March 18, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect528,746 Reported balance After 2024-03-15 transaction · row 1
1 source row

Row 1 · 2024-03-15 · Sale · Disposed 10,670 · Balance 528,746

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 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions 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 $0.095 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.

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 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions 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 $0.095 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.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
March 15, 2024 Filed Mar 18, 2024 17:55 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 10,670 $0.10 $1,031.79
Disclosure

SEC source: 0001562180-24-002775 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 528,746

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.

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February 05, 2024 Filed Feb 5, 2024 20:35 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 1,614 $0.15 $243.71
Disclosure

SEC source: 0001562180-24-001077 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 539,416

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 5,573 $0.32 $1,790.60
Disclosure

SEC source: 0001562180-23-008555 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 541,030

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 13:26 UTC Sonendo, Inc. SONX · Entity 9738 Tax withholdingCommon Stock 11,030 $0.08 $827.25
Disclosure

SEC source: 0001562180-23-008399 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 546,603

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 1,090 $0.27 $295.39
Disclosure

SEC source: 0001562180-23-007540 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 557,633

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 13:03 UTC Sonendo, Inc. SONX · Entity 9738 Tax withholdingCommon Stock 3,824 $0.79 $3,020.96
Disclosure

SEC source: 0001562180-23-007030 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 558,723

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 8,016 $0.90 $7,240.05
Disclosure

SEC source: 0001562180-23-006887 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 562,547

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
August 03, 2023 Filed Aug 7, 2023 15:11 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 1,155 $1.35 $1,562.02
Disclosure

SEC source: 0001562180-23-006214 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 570,563

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 4,033 $1.19 $4,794.43
Disclosure

SEC source: 0001562180-23-005521 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 571,718

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 21:17 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 3,272 $1.09 $3,560.92
Disclosure

SEC source: 0001562180-23-005398 · primarydocument.xml · nonDerivative · entry 2

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 575,751

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 21:17 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 5,175 $1.12 $5,797.04
Disclosure

SEC source: 0001562180-23-005398 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 579,023

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 1,126 $1.24 $1,397.37
Disclosure

SEC source: 0001562180-23-003930 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 584,198

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 4,710 $1.81 $8,541.11
Disclosure

SEC source: 0001562180-23-003149 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 585,324

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 13:08 UTC Sonendo, Inc. SONX · Entity 9738 GrantCommon Stock 370,886 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002839 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,034

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 1,373 $2.47 $3,397.08
Disclosure

SEC source: 0001562180-23-001071 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,148

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 19:39 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 4,194 $1.50 $6,293.94
Disclosure

SEC source: 0001562180-22-008441 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,521

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 18:47 UTC Sonendo, Inc. SONX · Entity 9738 GrantStock Option · Derivative 133,519 $0.00 Strike: $2.34 $0.00
Disclosure

SEC source: 0001562180-22-008088 · primarydocument.xml · derivative · entry 6

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,519

Underlying: Common Stock · 133,519 shares

Expires 2027-12-11

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 options were originally granted on December 12, 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 133,519 $0.00 Strike: $4.02 $0.00
Disclosure

SEC source: 0001562180-22-008088 · primarydocument.xml · derivative · entry 5

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 133,519 shares

Expires 2027-12-11

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 options were originally granted on December 12, 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 41,205 $0.00 Strike: $2.34 $0.00
Disclosure

SEC source: 0001562180-22-008088 · primarydocument.xml · derivative · entry 4

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,205

Underlying: Common Stock · 41,205 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 18:47 UTC Sonendo, Inc. SONX · Entity 9738 Disposition to issuerStock Option · Derivative 41,205 $0.00 Strike: $7.01 $0.00
Disclosure

SEC source: 0001562180-22-008088 · primarydocument.xml · derivative · entry 3

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 41,205 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 18:47 UTC Sonendo, Inc. SONX · Entity 9738 GrantStock Option · Derivative 72,462 $0.00 Strike: $2.34 $0.00
Disclosure

SEC source: 0001562180-22-008088 · primarydocument.xml · derivative · entry 2

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,462

Underlying: Common Stock · 72,462 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.

Read SEC document
December 02, 2022 Filed Dec 5, 2022 18:47 UTC Sonendo, Inc. SONX · Entity 9738 Disposition to issuerStock Option · Derivative 72,462 $0.00 Strike: $12.00 $0.00
Disclosure

SEC source: 0001562180-22-008088 · primarydocument.xml · derivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 72,462 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.

Read SEC document
November 14, 2022 Filed Nov 16, 2022 16:06 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 5,269 $1.92 $10,115.95
Disclosure

SEC source: 0001562180-22-007712 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,715

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.

Read SEC document
August 16, 2022 Filed Aug 17, 2022 16:38 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 5,186 $1.48 $7,650.91
Disclosure

SEC source: 0001562180-22-006174 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,984

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.

Read SEC document
May 13, 2022 Filed May 17, 2022 19:06 UTC Sonendo, Inc. SONX · Entity 9738 SaleCommon Stock 2,129 $2.78 $5,916.70
Disclosure

SEC source: 0001562180-22-004151 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,170

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
March 25, 2022 Filed Mar 29, 2022 19:23 UTC Sonendo, Inc. SONX · Entity 9738 GrantCommon Stock 176,899 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002989 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,299

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
February 10, 2022 Filed Feb 14, 2022 17:31 UTC Sonendo, Inc. SONX · Entity 9738 Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $4.02 $0.00
Disclosure

SEC source: 0001872686-22-000003 · edgar.xml · derivative · entry 2

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,625

Underlying: Common Stock · 10,000 shares

Expires 2027-12-11

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_date: The option vested in four equal annual installments beginning November 6, 2017.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 17:31 UTC Sonendo, Inc. SONX · Entity 9738 Exercise / conversionCommon Stock 10,000 $4.02 $40,200.00
Disclosure

SEC source: 0001872686-22-000003 · edgar.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,400

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.

Read SEC document
November 02, 2021 Filed Nov 2, 2021 17:20 UTC Sonendo, Inc. SONX · Entity 9738 GrantCommon Stock 50,400 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-042403 · doc4.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,400

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.

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.