Sonoma Pharmaceu SEC Filings

Sonoma Pharmaceuticals, Inc. is offering up to 492,967 shares of common stock in an at-the-market type offering at an example price of $4.20 per share. Prior to the offering there were 1,649,765 shares outstanding and the company states that up to 2,142,732 shares could be outstanding after the offering depending on sales price and authorization limits. Net proceeds are intended for working capital and general corporate purposes. The prospectus supplement discloses 105,500 RSUs outstanding that may dilute shareholders and shows a pro forma net tangible book value per share (adjusted for option exercises after June 30, 2025) of $2.47 with an increase attributable to the offering of $0.34 per share. The filing refers investors to the "Risk Factors" section and to incorporated reports including annual and quarterly reports and current reports filed in 2023 and 2025 for additional information.

Form 4 overview: Sonoma Pharmaceuticals, Inc. (Ticker: SNOA) reported an insider equity transaction by Executive VP & COO Bruce Thornton on 06/19/2025. The filing discloses a grant of 13,500 Restricted Stock Units (RSUs), each representing the contingent right to receive one share of common stock at no cost to the executive.

Key terms of the award:

• Transaction code: “A” (acquisition) – the shares were granted, not purchased on the open market.
• Exercise/Conversion price: $0.00, indicating a purely compensatory award.
• Vesting schedule: The RSUs vest in full on the third anniversary of the 06/19/2025 grant date or sooner upon a change-of-control event, as noted in the explanatory footnotes.

Following the grant, Mr. Thornton’s total derivative holdings increased to 32,191 RSUs. No non-derivative common shares were reported in Table I, and no sales or dispositions occurred. The filing was signed on 06/20/2025 by an attorney-in-fact and reflects routine executive compensation rather than a market transaction.

Investor takeaway: The insider’s equity exposure has risen through a standard RSU award, signalling continued alignment of management incentives with shareholder value but does not, by itself, provide insight into the company’s near-term financial performance.

Form 4 overview – Sonoma Pharmaceuticals (SNOA)

On 19 June 2025 Sonoma Pharmaceuticals filed a Form 4 detailing an equity-compensation grant to Chief Financial Officer Jerome J. Dvonch. The company awarded the executive 13,500 restricted stock units (RSUs), each convertible into one share of common stock at no exercise price. The award vests in full on the third anniversary of the grant date or earlier upon a change of control, aligning long-term incentives with shareholder value.

Following the grant, Mr. Dvonch’s derivative holdings increased to 25,515 RSUs, all held directly. No open-market purchase or sale of common stock occurred, and therefore the transaction has no immediate cash impact on the executive, the company, or existing shareholders; any dilution will materialise only when the RSUs convert to shares. The filing is a routine disclosure required under Section 16(a) and does not signal a material change in Sonoma Pharmaceuticals’ operations, strategy, or near-term financial outlook.