0001872704-21-000001.txt : 20211214 0001872704-21-000001.hdr.sgml : 20211214 20211214161213 ACCESSION NUMBER: 0001872704-21-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211130 FILED AS OF DATE: 20211214 DATE AS OF CHANGE: 20211214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chen Roy T CENTRAL INDEX KEY: 0001872704 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40988 FILM NUMBER: 211491121 MAIL ADDRESS: STREET 1: C/O SONENDO, INC. STREET 2: 2601 MERIT CIRCLE, SUITE 102 CITY: LAGUNA HILLS STATE: CA ZIP: 92653 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sonendo, Inc. CENTRAL INDEX KEY: 0001407973 STANDARD INDUSTRIAL CLASSIFICATION: DENTAL EQUIPMENT & SUPPLIES [3843] IRS NUMBER: 205041718 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 26061 MERIT CIRCLE STREET 2: SUITE 101 CITY: Laguna Hills STATE: CA ZIP: 92653 BUSINESS PHONE: (949) 766-3636 MAIL ADDRESS: STREET 1: 26061 MERIT CIRCLE STREET 2: SUITE 101 CITY: Laguna Hills STATE: CA ZIP: 92653 FORMER COMPANY: FORMER CONFORMED NAME: Dentatek CORP DATE OF NAME CHANGE: 20070726 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2021-11-30 0001407973 Sonendo, Inc. SONX 0001872704 Chen Roy T C/O SONENDO, INC. 26061 MERIT CIRCLE, SUITE 102 LAGUNA HILLS CA 92653 0 1 0 0 Chief Talent Officer Common Stock 2021-11-30 4 M 0 2250 4.02 A 27250 D Common Stock 4.02 2021-11-30 4 M 0 2250 0 D 2028-03-12 Common Stock 2250 55578 D These shares are subject to a lock-up agreement between the reporting person and BofA Securities, Inc. dated October 28, 2021 (the "Lock-up Date") pursuant to which they may not be sold until April 27, 2022. The option vested as to 25% of the underlying shares of Common Stock on December 31, 2018 and with respect to the remaining shares in 36 equal monthly installments thereafter. /s/ Jacqueline Collins, Attorney-in-Fact for Roy T. Chen 2021-12-14