0001683168-19-000083.txt : 20190111 0001683168-19-000083.hdr.sgml : 20190111 20190111181746 ACCESSION NUMBER: 0001683168-19-000083 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190110 FILED AS OF DATE: 20190111 DATE AS OF CHANGE: 20190111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sandford Frederick J CENTRAL INDEX KEY: 0001599691 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33216 FILM NUMBER: 19523210 MAIL ADDRESS: STREET 1: C/O SONOMA PHARMACEUTICALS, INC. STREET 2: 1129 N. MCDOWELL BLVD. CITY: PETALUMA STATE: CA ZIP: 94954 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 4 1 ownership.xml X0306 4 2019-01-10 0 0001367083 Sonoma Pharmaceuticals, Inc. SNOA 0001599691 Sandford Frederick J C/O SONOMA PHARMACEUTICALS, INC. 1129 NORTH MCDOWELL BLVD. PETALUMA CA 94954 1 1 0 0 CEO and Interim CFO Stock option (right to buy) 0.717 2019-01-10 4 A 0 400000 A 2019-07-10 2029-01-10 Common Stock 400000 400000 D Stock option (right to buy) 0.717 2019-01-10 4 A 0 50000 A 2019-07-10 2029-01-10 Common Stock 50000 450000 D The options were granted to Mr. Sandford as an inducement stock option award in accordance with Nasdaq Listing Rule 5635(c)(4), as an inducement material to his entering into employment with the Issuer as Chief Executive Officer and Interim Chief Financial Officer. The options were granted to Mr. Sandford for his entering into employment with the Issuer as Chief Executive Officer and Interim Chief Financial Officer. /s/ Frederick Sadnford 2019-01-11