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