Sonoma Pharmaceuticals (NASDAQ: SNOA) awards CEO 10,000 RSUs in equity grant

Q: How many Restricted Stock Units did the Sonoma Pharmaceuticals (SNOA) CEO receive?

CEO Amy Moss Trombly received 10,000 Restricted Stock Units . Each RSU represents a contingent right to receive one share of Sonoma Pharmaceuticals common stock in the future.

Q: When do the RSUs granted to the Sonoma Pharmaceuticals (SNOA) CEO vest?

The RSUs granted to the CEO vest on the third anniversary of the grant date, or earlier upon a change of control , according to the award terms.

Q: How many RSUs does the Sonoma Pharmaceuticals (SNOA) CEO hold after this grant?

After this award, CEO Amy Moss Trombly directly holds 52,185 Restricted Stock Units , as reported in the post-transaction holdings section of the Form 4.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Trombly Amy Moss reported acquisition or exercise transactions in this Form 4 filing.

Sonoma Pharmaceuticals, Inc. reported that Chief Executive Officer Amy Moss Trombly received a grant of 10,000 Restricted Stock Units (RSUs), each representing a contingent right to receive one share of common stock. The RSUs vest on the third anniversary of the grant date or upon a change of control. Following this award, she holds 52,185 RSUs directly.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Trombly Amy Moss

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock Units	10,000	$0.00	--

Holdings After Transaction: Restricted Stock Units — 52,185 shares (Direct)

Footnotes (1)

Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock. The RSUs vest on the third anniversary of the grant date, or upon change of control. The RSUs were awarded and granted to Ms. Trombly for services performed.

Key Figures

RSUs granted: 10,000 Restricted Stock Units Grant price: $0.00 per unit Post-grant RSU holdings: 52,185 Restricted Stock Units +1 more

4 metrics

RSUs granted 10,000 Restricted Stock Units Grant of RSUs to CEO Amy Moss Trombly

Grant price $0.00 per unit RSUs awarded as compensation, not purchased in the market

Post-grant RSU holdings 52,185 Restricted Stock Units Total RSUs held directly by the CEO after the award

Underlying common stock 10,000 shares Each RSU corresponds to one share of common stock

Key Terms

Restricted Stock Units, contingent right, change of control

3 terms

Restricted Stock Units financial

"Each restricted stock unit (RSU) represents a contingent right to receive one share"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

contingent right financial

"represents a contingent right to receive one share of common stock"

change of control financial

"The RSUs vest on the third anniversary of the grant date, or upon change of control"

A change of control occurs when the ownership or management of a company shifts significantly, such as through a sale, merger, or acquisition, resulting in new leadership or ownership structure. This change can impact the company's direction and decision-making, which is important for investors because it may affect the company's stability, strategy, and future prospects.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/09/2026 - 08:47 PM Accepted by SEC EDGAR 07/09/2026 - 08:47 PM

FAQ

What did Sonoma Pharmaceuticals (SNOA) report in this Form 4 for its CEO?

Sonoma Pharmaceuticals reported that CEO Amy Moss Trombly received a grant of 10,000 Restricted Stock Units (RSUs), awarded as compensation for services performed.

How many Restricted Stock Units did the Sonoma Pharmaceuticals (SNOA) CEO receive?

CEO Amy Moss Trombly received 10,000 Restricted Stock Units. Each RSU represents a contingent right to receive one share of Sonoma Pharmaceuticals common stock in the future.

When do the RSUs granted to the Sonoma Pharmaceuticals (SNOA) CEO vest?

The RSUs granted to the CEO vest on the third anniversary of the grant date, or earlier upon a change of control, according to the award terms.

What does each RSU granted by Sonoma Pharmaceuticals (SNOA) represent?

Each RSU represents a contingent right to receive one share of Sonoma Pharmaceuticals common stock, meaning shares are issued only after the vesting conditions are met.

How many RSUs does the Sonoma Pharmaceuticals (SNOA) CEO hold after this grant?

After this award, CEO Amy Moss Trombly directly holds 52,185 Restricted Stock Units, as reported in the post-transaction holdings section of the Form 4.

Was cash paid for the RSUs granted by Sonoma Pharmaceuticals (SNOA) to its CEO?

No cash price is associated with this grant; the RSUs were awarded at $0.00 per unit as compensation for services, not as an open-market purchase.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Trombly Amy Moss

(Last)

(First)

(Middle)

C/O SONOMA PHARMACEUTICALS, INC.

5445 CONESTOGA COURT, SUITE 150

(Street)

BOULDER

COLORADO

80301

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Sonoma Pharmaceuticals, Inc. [ SNOA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Executive Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/09/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	$0.00⁽¹⁾	07/09/2026		A		10,000		⁽²⁾	⁽²⁾	Common Stock	10,000	$0.00⁽¹⁾⁽³⁾	52,185	D

Explanation of Responses:

1. Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.

2. The RSUs vest on the third anniversary of the grant date, or upon change of control.

3. The RSUs were awarded and granted to Ms. Trombly for services performed.

	/s/ Amy Trombly	07/09/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR