0001683168-23-005040.txt : 20230721 0001683168-23-005040.hdr.sgml : 20230721 20230721170005 ACCESSION NUMBER: 0001683168-23-005040 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230717 FILED AS OF DATE: 20230721 DATE AS OF CHANGE: 20230721 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dal Poggetto John CENTRAL INDEX KEY: 0001791040 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33216 FILM NUMBER: 231103056 MAIL ADDRESS: STREET 1: 1129 N. MCDOWELL BLVD CITY: PETALUMA STATE: CA ZIP: 94954 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sonoma Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001367083 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 680423298 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 5445 CONESTOGA COURT, SUITE 150 CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 800-759-9305 MAIL ADDRESS: STREET 1: 5445 CONESTOGA COURT, SUITE 150 CITY: BOULDER STATE: CO ZIP: 80301 FORMER COMPANY: FORMER CONFORMED NAME: Oculus Innovative Sciences, Inc. DATE OF NAME CHANGE: 20060622 3 1 ownership.xml X0206 3 2023-07-17 0 0001367083 Sonoma Pharmaceuticals, Inc. SNOA 0001791040 Dal Poggetto John C/O SONOMA PHARMACEUTICALS, INC. 5445 CONESTOGA COURT, SUITE 150 BOULDER CO 80301 0 1 0 0 Controller Stock option (right to buy) 1.15 2033-07-17 Common Stock 5000 D The Issuer granted the options as an initial grant upon Mr. Dal Poggetto's appointment as Controller of the Issuer on July 17, 2023. The options vest in three equal tranches annually on the grant date anniversary, beginning on July 17, 2024 and becoming fully vested on July 17, 2026, or upon change of control of the Issuer. /s/ John Dal Poggetto 2023-07-21