0001683168-23-009158.txt : 20231229 0001683168-23-009158.hdr.sgml : 20231229 20231229172633 ACCESSION NUMBER: 0001683168-23-009158 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231229 FILED AS OF DATE: 20231229 DATE AS OF CHANGE: 20231229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Trombly Amy Moss CENTRAL INDEX KEY: 0001384640 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33216 FILM NUMBER: 231528695 MAIL ADDRESS: STREET 1: 1314 MAIN STREET, SUITE 102 CITY: LOUSIVILLE STATE: CO ZIP: 80027 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sonoma Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001367083 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 4 1 ownership.xml X0508 4 2023-12-29 0 0001367083 Sonoma Pharmaceuticals, Inc. SNOA 0001384640 Trombly Amy Moss C/O SONOMA PHARMACEUTICALS, INC. 5445 CONESTOGA COURT, SUITE 150 BOULDER CO 80301 0 1 0 0 Chief Executive Officer 0 Stock option (right to buy) 0.18 2023-12-29 4 A 0 60000 A 2033-12-29 Common Stock 60000 173648 D The options vest one third each on 12/29/2024, 12/29/2025 and 12/29/2026, or upon change of control or as provided by Ms. Trombly's employment agreement. The options were awarded and granted to Ms. Trombly for services performed as part of the Company's annual grant of stock options. /s/ Amy Trombly 2023-12-29