Welcome to our dedicated page for Sonoma Pharmaceu SEC filings (Ticker: SNOA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Sonoma Pharmaceuticals, Inc. (Nasdaq: SNOA) files a range of documents with the U.S. Securities and Exchange Commission that provide detailed insight into its operations, governance, and financial condition. These SEC filings include annual reports on Form 10-K and quarterly reports on Form 10-Q, which contain audited and unaudited financial statements, revenue by region, gross profit, operating expenses, net loss, and non-GAAP reconciliations such as EBITDA loss. For a company focused on stabilized hypochlorous acid (HOCl) products based on Microcyn technology, these reports help investors understand how sales of wound care, dermatology, eye care, oral and nasal care, podiatry, animal health, and disinfectant products contribute to overall performance.
Current reports on Form 8-K are particularly relevant for tracking material events. Recent 8-K filings describe changes to executive employment agreements, the planned or actual departure of senior officers, an at-the-market issuance sales agreement for common stock, and the filing of updated investor presentations. Other 8-Ks document the results of the annual meeting of stockholders, including director elections, advisory votes on executive compensation, and auditor ratification. These disclosures provide transparency into Sonoma’s governance, compensation practices, and capital-raising activities.
Proxy statements on Schedule 14A offer additional detail on board structure, director and executive biographies, compensation programs, and stockholder proposals. Together with the company’s periodic reports, they allow readers to review how Sonoma aligns management incentives with its strategy of developing and commercializing HOCl-based products.
On this page, users can access Sonoma’s SEC filings as they are made available through EDGAR. AI-powered tools can be used to summarize lengthy documents such as 10-Ks and 10-Qs, highlight key sections on revenue trends, regional performance, operating expenses, and risk factors, and surface information on topics like executive compensation, equity plans, and material agreements disclosed in Forms 8-K and proxy materials.
Sonoma Pharmaceuticals is planning a firm-commitment underwritten public offering of units to raise approximately $5 million. Each unit includes one share of common stock (or a pre-funded warrant) plus a common warrant to buy one additional share, with warrant exercise prices tied to the final public offering price.
Pre-funded warrants will carry a nominal $0.0001 exercise price and no expiration, with 4.99% or 9.99% beneficial ownership limits, while common warrants will be immediately exercisable and expire five years after issuance. Based on an assumed price of $2.47 per unit, Sonoma estimates net proceeds of about $4.48 million, after a 7.5% underwriting discount and offering expenses.
The company expects to use the cash for working capital and general corporate purposes, including product launches and potential R&D and capital spending. The example capital structure shows pro forma net tangible book value per share rising modestly, but new investors would experience dilution versus the assumed offering price.
Sonoma Pharmaceuticals, Inc. entered into a new Manufacturing and Supply Agreement with Kenvue Brands LLC covering the sale of Microcyn® technology-based products in the United States. The agreement is effective from October 24, 2025 through March 2027, with an option for up to two additional one-year extensions by mutual written agreement.
The company notes that this description is only a summary and refers readers to the full agreement filed as Exhibit 10.1. Sonoma also includes standard forward-looking statement language, emphasizing that actual results could differ due to various risks and uncertainties outlined in its SEC reports.
Sonoma Pharmaceuticals reported higher sales but continued losses for the quarter ended December 31, 2025. Quarterly revenue rose 22% to $4.35 million, driven by strong growth in the United States, Europe and Asia, while Latin America declined.
Gross profit increased to $1.65 million, with gross margin improving slightly to 38%. Operating expenses were stable, producing a smaller net loss of $0.82 million, or $0.48 per share, compared with a loss of $0.63 per share a year earlier.
For the first nine months of the fiscal year, revenue grew 33% to $13.97 million and net loss narrowed modestly to $2.59 million. Cash and cash equivalents fell to $2.56 million, and operating cash outflow was $3.41 million. Management disclosed that recurring losses and funding needs create substantial doubt about the company’s ability to continue as a going concern without additional capital.
Sonoma Pharmaceuticals director Vanessa Jacoby reported an initial equity grant tied to her board appointment. She beneficially owns stock options giving her the right to buy 10,000 shares of Sonoma Pharmaceuticals common stock.
The options were granted on her appointment date and vest in three equal parts over three years. One-third vests on the first anniversary of the grant date, another third on the second anniversary, and the final third on the third anniversary, or earlier if there is a change in control. The options become exercisable starting in 2027 and expire in 2036 if not exercised.
Sonoma Pharmaceuticals reported several board and governance changes. Long-time director Dr. Jay Birnbaum retired from the board after serving since 2007 and will continue with the company for one year under a consulting agreement. As compensation, he will receive 5,000 restricted stock units per quarter, which will vest after the Form 10-K is filed for the year ended March 31, 2027, or upon a change of control.
The board adopted a revised non-employee director compensation program and stock ownership guidelines, giving it more discretion over equity grants to directors. Sonoma also appointed Vanessa Jacoby as an independent director, Chairperson of the Audit Committee, and member of the Compensation Committee. She receives cash retainers for board and committee roles and options to purchase up to 10,000 shares vesting over three years or upon change of control. The company also entered into standard indemnification and director agreements with her.
Sonoma Pharmaceuticals, Inc. filed a Form 8-K to provide an updated investor presentation, furnished as Exhibit 99.1 and dated January 12, 2026. The presentation is intended to update investors on the company and its affiliates.
The filing emphasizes that any statements about commercial and technology progress and future financial performance are forward-looking and subject to significant risks and uncertainties. These include potential changes in regulatory or clinical guidelines, the possibility that scientific or clinical data may not meet regulatory standards or be replicated in real-world settings, challenges to the company’s patent protection, and markets that may be smaller or less accessible than expected. The company also cites risks related to revenue sufficiency, foreign currency fluctuations, global economic conditions, tariffs or trade policy changes, and differing regulatory and marketing requirements across countries and municipalities.
Sonoma Pharmaceuticals director granted new stock options
A director of Sonoma Pharmaceuticals, Inc. received a stock option grant covering 10,000 shares of common stock on 01/02/2026 at an exercise price of $3.68 per share. These options vest in three equal parts on 01/02/2027, 01/02/2028, and 01/02/2029, or earlier upon a change of control, and expire on 01/02/2036. After this grant, the director beneficially owns 20,001 derivative securities, held directly, as compensation for Board service under the company’s annual stock option program.
Sonoma Pharmaceuticals disclosed that Chief Executive Officer Amy Trombly received an equity grant in the form of restricted stock units (RSUs). On 01/02/2026, she was awarded 10,000 RSUs, each representing a contingent right to receive one share of Sonoma common stock. The RSUs vest on the third anniversary of the grant date, or earlier upon a change of control, aligning the CEO’s compensation with longer-term company performance. Following this grant, Ms. Trombly beneficially owns 42,185 derivative securities related to Sonoma stock in direct ownership.
Sonoma Pharmaceuticals, Inc. filed a report showing an equity award to one of its officers. On 01/02/2026, Controller John Dal Poggetto received 5,000 restricted stock units (RSUs), each representing a contingent right to receive one share of Sonoma common stock.
The RSUs vest on the third anniversary of the grant date or upon a change of control, according to the disclosure. Following this grant, Dal Poggetto directly beneficially owns 25,250 derivative securities tied to Sonoma common stock.
Sonoma Pharmaceuticals (SNOA) reported Q2 FY2026 results. Revenue was $5.604 million, up 57% year over year, with gross profit of $2.120 million and a gross margin of 38%. Net loss narrowed to $0.534 million (basic and diluted EPS $(0.32)) from a $0.610 million loss a year ago.
Six-month performance: Revenue reached $9.619 million, up 38% year over year, with gross profit of $3.584 million and a 37% margin. Operating expenses were $2.457 million in Q2 and $5.016 million for the first half.
Cash and liquidity: Cash and equivalents were $3.035 million at September 30, 2025, and net cash used in operating activities was $2.650 million for the six months. Working capital was $8.179 million. Management disclosed “substantial doubt” about the company’s ability to continue as a going concern within one year without additional capital. Subsequent to quarter end, the company sold 51,436 shares via its at-the-market program for gross proceeds of $232,000 and net proceeds of $170,000. Shares outstanding were 1,701,076 as of November 3, 2025.