UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

  FORM 12b-25 SEC FILE NUMBER
      001-33216
       
      CUSIP NUMBER
   NOTIFICATION OF LATE FILING  83558L105

 

(Check one):  o  Form 10-K  o  Form 20-F  o  Form 11-K  þ  Form 10-Q  o  Form 10-D  o  Form N-SAR  o  Form N-CSR
                             

For Period Ended:  December 31, 2016

 o Transition Report on Form 10-K  
     
 o Transition Report on Form 20-F  
     
 o Transition Report on Form 11-K  
     
 o Transition Report on Form 10-Q  
     
 o Transition Report on Form N-SAR  
     
 For the Transition Period Ended:  

 

Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.

 

If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:

 

PART I — REGISTRANT INFORMATION

 

 

SONOMA PHARMACEUTICALS, INC.  
Full Name of Registrant
 
OCULUS INNOVATIVE SCIENCES, INC.  
Former Name if Applicable
 
1129 N. McDowell Blvd.  
Address of Principal Executive Office (Street and Number)
 
Petaluma, CA 94954  
City, State and Zip Code

 

 

 

 

 

 

 

 

 

   
 

 

PART II — RULES 12b-25(b) AND (c)

 

If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25 (b), the following should be completed. (Check box if appropriate)

 

 o (a) The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;
     
 þ (b) The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-SAR or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D,or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and
     
 o (c) The accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
     

 

 

PART III — NARRATIVE
 
State below in reasonable detail the reasons why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period. (Attach extra Sheets if Needed)
 
The Registrant’s auditors require additional time to complete their review of the quarterly report on Form 10-Q.

 

PART IV — OTHER INFORMATION

 

(1) Name and telephone number of person to contact in regard to this notification
 
  Jim Schutz    707    283-0550
  (Name)   (Area Code)   (Telephone Number)
 
(2) Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If answer is no, identify report(s).
Yes  þ No  o  
 
(3) Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof?
Yes  o No  þ  
                   

 

 
          Sonoma Pharmaceuticals, Inc.          
(Name of Registrant as Specified in Charter)
 
has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.
 
Date: February 14, 2017
      By: /s/ Jim Schutz  
        Name: Jim Schutz
        Title: Chief Executive Officer (Principal Executive Officer)


 

ATTENTION

Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).

 

 

 

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