0001683168-21-000129.txt : 20210113 0001683168-21-000129.hdr.sgml : 20210113 20210113165053 ACCESSION NUMBER: 0001683168-21-000129 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210107 FILED AS OF DATE: 20210113 DATE AS OF CHANGE: 20210113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thornton Bruce CENTRAL INDEX KEY: 0001383288 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33216 FILM NUMBER: 21526669 MAIL ADDRESS: STREET 1: 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: 645 MOLLY LANE, SUITE 150 CITY: WOODSTOCK STATE: GA ZIP: 30189 BUSINESS PHONE: 800-759-9305 MAIL ADDRESS: STREET 1: 645 MOLLY LANE, SUITE 150 CITY: WOODSTOCK STATE: GA ZIP: 30189 FORMER COMPANY: FORMER CONFORMED NAME: Oculus Innovative Sciences, Inc. DATE OF NAME CHANGE: 20060622 4 1 ownership.xml X0306 4 2021-01-07 0 0001367083 Sonoma Pharmaceuticals, Inc. SNOA 0001383288 Thornton Bruce C/O SONOMA PHARMACEUTICALS, INC. 645 MOLLY LANE, SUITE 150 WOODSTOCK GA 30189 0 1 0 0 COO Common Stock, $0.0001 par value per share 825 D Stock option (right to buy) 8.03 2021-01-07 4 A 0 27777 A 2031-01-07 Common Stock 27777 47377 D The options vest one third each on 01/07/2022, 01/07/2023 and 01/07/2024 or upon change of control. The options were awarded and granted to Mr. Thornton for services performed. /s/ Bruce Thornton 2021-01-13