0001562180-23-005390.txt : 20230621 0001562180-23-005390.hdr.sgml : 20230620 20230620210259 ACCESSION NUMBER: 0001562180-23-005390 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230616 FILED AS OF DATE: 20230620 DATE AS OF CHANGE: 20230620 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: 231027224 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 primarydocument.xml PRIMARY DOCUMENT X0407 4 2023-06-16 false 0001407973 Sonendo, Inc. SONX 0001207793 BERGHEIM OLAV C/O FJORD VENTURES LLC 26051 MERIT CIRCLE, SUITE 102 LAGUNA HILLS CA 92653 true false true false false Common Stock 2023-06-16 4 A false 25316.00 0.00 A 150408.00 D Common Stock 1090752.00 I Held by Fjordinvest LLC Common Stock 393474.00 I Held by Fjordinvest (Cayman) Ltd. Common Stock 66464.00 I Held by Fjord Ventures LLC Common Stock 131302.00 I Held by Micro LLC Common Stock 691628.00 I Held by Fjord Capital Partners I, L.P. Common Stock 286673.00 I Held by Fjordinvest (Cayman) II Ltd. Common Stock 24906.00 I Held by IRA Stock Option (Right to Buy) 1.08 2023-06-16 4 A false 32520.00 0.00 A 2033-06-15 Common Stock 32520.00 32520.00 D Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date. 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 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. The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date. /s/ Olav Bergheim 2023-06-20