0001683168-17-000821.txt : 20170405
0001683168-17-000821.hdr.sgml : 20170405
20170405171532
ACCESSION NUMBER: 0001683168-17-000821
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170403
FILED AS OF DATE: 20170405
DATE AS OF CHANGE: 20170405
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: 1129 N. MCDOWELL BLVD.
CITY: PETALUMA
STATE: CA
ZIP: 94954
BUSINESS PHONE: 707-283-0550
MAIL ADDRESS:
STREET 1: 1129 N. MCDOWELL BLVD.
CITY: PETALUMA
STATE: CA
ZIP: 94954
FORMER COMPANY:
FORMER CONFORMED NAME: Oculus Innovative Sciences, Inc.
DATE OF NAME CHANGE: 20060622
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Miller Robert E
CENTRAL INDEX KEY: 0001367082
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33216
FILM NUMBER: 17743477
MAIL ADDRESS:
STREET 1: 1129 N. MCDOWELL BLVD.
CITY: PETALUMA
STATE: CA
ZIP: 94954
4
1
miller_frm4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-04-03
0
0001367083
Sonoma Pharmaceuticals, Inc.
SNOA
0001367082
Miller Robert E
C/O SONOMA PHARMACEUTICALS, INC.
1129 N. MCDOWELL BLVD.
PETALUMA
CA
94954
0
1
0
0
Chief Financial Officer
Stock option (right to buy)
7.06
2017-04-03
4
A
0
30000
A
2027-04-03
Common Stock
30000
140866
D
The stock options vest in three years with the first one-third vesting on the first anniversary of the date of the grant, the second one-third vesting on the second anniversary of the date of the grant and the remainder vesting on the third anniversary of the date of the grant.
The stock options were granted in connection with Mr. Miller's service as the Issuer's Chief Financial Officer.
/s/ Robert E. Miller
2017-04-05