0000899243-21-042410.txt : 20211102
0000899243-21-042410.hdr.sgml : 20211102
20211102172242
ACCESSION NUMBER: 0000899243-21-042410
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211102
FILED AS OF DATE: 20211102
DATE AS OF CHANGE: 20211102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BERGHEIM OLAV
CENTRAL INDEX KEY: 0001207793
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40988
FILM NUMBER: 211372589
MAIL ADDRESS:
STREET 1: ONE PALMER SQUARE
CITY: PRINCETON
STATE: NJ
ZIP: 08542
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sonendo, Inc.
CENTRAL INDEX KEY: 0001407973
STANDARD INDUSTRIAL CLASSIFICATION: DENTAL EQUIPMENT & SUPPLIES [3843]
IRS NUMBER: 205041718
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 26061 MERIT CIRCLE
STREET 2: SUITE 101
CITY: Laguna Hills
STATE: CA
ZIP: 92653
BUSINESS PHONE: (949) 766-3636
MAIL ADDRESS:
STREET 1: 26061 MERIT CIRCLE
STREET 2: SUITE 101
CITY: Laguna Hills
STATE: CA
ZIP: 92653
FORMER COMPANY:
FORMER CONFORMED NAME: Dentatek CORP
DATE OF NAME CHANGE: 20070726
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-11-02
0
0001407973
Sonendo, Inc.
SONX
0001207793
BERGHEIM OLAV
C/O FJORD VENTURES LLC
26051 MERIT CIRCLE, SUITE 102
LAGUNA HILLS
CA
92653
1
0
1
0
Common Stock
2021-11-02
4
C
0
1090752
A
1090752
I
Held by Fjordinvest LLC
Common Stock
2021-11-02
4
C
0
393473
A
393473
I
Held by Fjordinvest (Cayman) Ltd.
Common Stock
2021-11-02
4
C
0
52766
A
66464
I
Held by Fjord Ventures LLC
Common Stock
2021-11-02
4
C
0
21713
A
131302
I
Held by Micro LLC
Common Stock
2021-11-02
4
P
0
33500
12.00
A
164802
I
Micro LLC
Common Stock
2021-11-02
4
C
0
691628
A
691628
I
Held by Fjord Capital Partners I, L.P.
Common Stock
2021-11-02
4
C
0
286673
A
286673
I
Held by Fjordinvest (Cayman) II Ltd.
Common Stock
2021-11-02
4
C
0
24906
A
24906
I
Held by IRA
Series A-1 Preferred Stock
2021-11-02
4
C
0
592372
D
Common Stock
592372
0
I
Held by Fjordinvest LLC
Series B Preferred Stock
2021-11-02
4
C
0
159170
D
Common Stock
159170
0
I
Held by Fjordinvest LLC
Series C Preferred Stock
2021-11-02
4
C
0
99626
D
Common Stock
99626
0
I
Held by Fjordinvest LLC
Series C-1 Preferred Stock
2021-11-02
4
C
0
239584
D
Common Stock
239584
0
I
Held by Fjordinvest LLC
Series D Preferred Stock
2021-11-02
4
C
0
393473
D
Common Stock
393473
0
I
Held by Fjordinvest (Cayman) Ltd.
Series B Preferred Stock
2021-11-02
4
C
0
52766
D
Common Stock
52766
0
I
Held by Fjord Ventures LLC
Series B Preferred Stock
2021-11-02
4
C
0
21713
D
Common Stock
21713
0
I
Held by Micro LLC
Series B Preferred Stock
2021-11-02
4
C
0
592002
D
Common Stock
592002
0
I
Held by Fjord Capital Partners I, L.P.
Series C Preferred Stock
2021-11-02
4
C
0
99626
D
Common Stock
99626
0
I
Held by Fjord Capital Partners I, L.P.
Series D Preferred Stock
2021-11-02
4
C
0
286673
D
Common Stock
286673
0
I
Held by Fjordinvest (Cayman) II Ltd.
Series E Preferred Stock
2021-11-02
4
C
0
24906
D
Common Stock
24906
0
I
Held by IRA
Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis.
Mr. Bergheim is the president of Micro LLC, the managing member of Fjordinvest LLC, and is the manager of Fjordinvest LLC. Mr. Bergheim exercises voting and dispositive power over the shares held by Fjordinvest LLC. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
Mr. Bergheim is the chief executive officer of Fjordinvest (Cayman) Ltd. and exercises voting and dispositive power over the shares held by Fjordinvest (Cayman) Ltd. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
Mr. Bergheim is the president of Fjord Ventures LLC and exercises voting and dispositive power over the shares held by Fjord Ventures LLC. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares
Mr. Bergheim is the president of Micro LLC, the managing member of Fjordinvest LLC, and is the manager of Fjordinvest LLC. Mr. Bergheim exercises voting and dispositive power over the shares held by Fjordinvest LLC. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
Mr. Bergheim is the manager of Fjord Venture Partners I, LLC, the general partner of Fjord Capital Partners I, LP, and exercises voting and dispositive power over the shares held Fjord Capital Partners I, LP. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
Mr. Bergheim is the chief executive officer of Fjordinvest (Cayman) II Ltd. and exercises voting and dispositive power over the shares held by Fjordinvest (Cayman) II Ltd. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
Held by PENSCO Trust Company, Custodian, FBO Olav Bergheim.
By: /s/ Jacqueline Collins, Attorney-in-Fact for Olav Bergheim
2021-11-02