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