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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock option (right to buy) | $ 38.15 | 01/14/2019 | H | 5,271 | (1) | 01/14/2019 | Common Stock | 5,271 | (2) | 188,087 | D | ||||
Stock option (right to buy) | $ 66.85 | 01/14/2019 | H | 3,571 | (1) | 01/14/2019 | Common Stock | 3,571 | (3) | 184,516 | D | ||||
Stock option (right to buy) | $ 68.95 | 01/14/2019 | H | 1,785 | (1) | 01/14/2019 | Common Stock | 1,785 | (4) | 182,731 | D | ||||
Stock option (right to buy) | $ 70.35 | 01/14/2019 | H | 3,928 | (1) | 01/14/2019 | Common Stock | 3,928 | (5) | 178,803 | D | ||||
Stock option (right to buy) | $ 56 | 01/14/2019 | H | 1,428 | (1) | 01/14/2019 | Common Stock | 1,428 | (6) | 177,375 | D | ||||
Stock option (right to buy) | $ 43.75 | 01/14/2019 | H | 5,357 | (1) | 01/14/2019 | Common Stock | 5,357 | (7) | 172,018 | D | ||||
Stock option (right to buy) | $ 32.55 | 01/14/2019 | H | 4,285 | (1) | 01/14/2019 | Common Stock | 4,285 | (8) | 167,733 | D | ||||
Stock option (right to buy) | $ 30 | 01/14/2019 | H | 20,000 | (1) | 01/14/2019 | Common Stock | 20,000 | (9) | 147,733 | D | ||||
Stock option (right to buy) | $ 4.81 | 01/14/2019 | H | 50,000 | (1) | 01/14/2019 | Common Stock | 50,000 | (10) | 97,733 | D | ||||
Stock option (right to buy) | $ 7.06 | 01/14/2019 | H | 30,000 | (1) | 01/14/2019 | Common Stock | 30,000 | (11) | 67,733 | D | ||||
Stock option (right to buy) | $ 2.41 | 01/14/2019 | H | 67,733 | (1) | 01/14/2019 | Common Stock | 67,733 | (12) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schutz James J C/O SONOMA PHARMACEUTICALS, INC. 1129 N. MCDOWELL BLVD. PETALUMA, CA 94954 |
Former CEO and Former Director |
/s/ Jim Schutz | 01/15/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The stock options expired on January 14, 2019 in connection with the Separation and Mutual Release Agreement between the Issuer and Mr. Schutz, dated December 13, 2018. |
(2) | The stock options were originally granted on March 10, 2009. |
(3) | The stock options were originally granted on February 10, 2010. |
(4) | The stock options were originally granted on June 7, 2010 pursuant to the Issuer's 2010 Bonus Plan. |
(5) | The stock options were originally granted on March 31, 2011 pursuant to the Issuer's 2010 Bonus Plan in lieu of cash. |
(6) | The stock options were originally granted on June 16, 2011 pursuant to the Issuer's 2011 Bonus Plan in lieu of cash. |
(7) | The stock options were originally granted on March 7, 2012 pursuant to the Issuer's 2011 Bonus Plan. |
(8) | The stock options were originally granted on August 24, 2012 pursuant to the Issuer's 2012 Bonus Plan in lieu of cash. |
(9) | The stock options were originally granted on September 19, 2013 pursuant to the Issuer's entry into a new employment agreement with him, effective June 02, 2013. |
(10) | The stock options were originally granted on November 30, 2016 as a signing bonus for his employment agreement, dated July 26, 2016. |
(11) | The stock options were originally granted on April 3, 2017 in connection with his services as the Issuer's CEO. |
(12) | The stock options were originally granted on July 20, 2018 as a bonus for fiscal year 2018. |