Sonoma Pharmaceuticals CFO granted 10,000 RSUs

DVONCH JEROME J reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

DVONCH JEROME J reported acquisition or exercise transactions in this Form 4 filing.

Sonoma Pharmaceuticals, Inc. reported that its Chief Financial Officer, Jerome J. Dvonch, received a grant of 10,000 Restricted Stock Units representing contingent rights to an equal number of common shares. Following this award, he holds 44,391 shares-related units directly. Footnotes state each RSU equals one share of common stock and reference the third anniversary of the grant date or a change of control.

Insights

Equity Compensation Analyst

CFO received 10,000 RSUs as part of equity compensation.

Chief Financial Officer Jerome J. Dvonch was granted 10,000 Restricted Stock Units at a price of $0.00 per unit as compensation for services. Each RSU represents a contingent right to receive one share of common stock, aligning his interests with common shareholders.

After this grant, Dvonch is reported with 44,391 shares-related units held directly. Footnotes indicate the RSUs are tied to the third anniversary of the grant date or a change of control, suggesting specific timing or event conditions before common stock is delivered.

Insider Trade Summary

Grant/Award: 10,000 shares

Grant/Award 1 txn

Insider DVONCH JEROME J

Role Chief Financial Officer

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

Holdings After Transaction: Restricted Stock Units — 44,391 contracts (Direct)

Footnotes (3)

1. F1. Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock.
2. F2. The RSUs on the third anniversary of the grant date, or upon change of control.
3. F3. The RSUs were awarded and granted to Mr. Dvonch for services performed.

Key Figures

RSUs granted: 10,000 Restricted Stock Units Transaction price per unit: $0.00 Underlying common shares: 10,000 shares +2 more

5 metrics

RSUs granted 10,000 Restricted Stock Units Grant/award acquisition to CFO on 2026-07-09

Transaction price per unit $0.00 RSU grant price per unit

Underlying common shares 10,000 shares Each RSU represents a contingent right to one share of common stock

Holdings after transaction 44,391 Total shares-related units held directly following the RSU grant

Derivative transaction count 1 One derivative-type transaction (RSU grant) reported in this Form 4

Key Terms

Restricted Stock Units, contingent right, change of control

3 terms

Restricted Stock Units financial

"security_title: Restricted Stock Units"

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

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

change of control financial

"The RSUs 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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What transaction did Sonoma Pharmaceuticals (SNOA) report for its CFO?

Sonoma Pharmaceuticals reported that its CFO, Jerome J. Dvonch, received a grant of 10,000 Restricted Stock Units. These RSUs were awarded for services performed and represent contingent rights to receive common stock.

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

The CFO of Sonoma Pharmaceuticals received 10,000 Restricted Stock Units. Each RSU represents a contingent right to receive one share of common stock, effectively tying his compensation to future company equity.

What does each RSU granted to the Sonoma Pharmaceuticals (SNOA) CFO represent?

Each RSU granted to the Sonoma Pharmaceuticals CFO represents a contingent right to one share of common stock. This means the units may convert into shares when specified conditions are met.

What is the CFO’s reported holdings after the latest Sonoma Pharmaceuticals (SNOA) RSU grant?

Following the RSU grant, the CFO is reported with 44,391 shares-related units held directly. This figure reflects his position after receiving the additional 10,000 Restricted Stock Units.

Were there any open-market buys or sells in the Sonoma Pharmaceuticals (SNOA) Form 4?

No open-market purchases or sales were reported. The Form 4 shows an acquisition via grant of 10,000 Restricted Stock Units as compensation, with no buy or sell transactions disclosed.

Are the Sonoma Pharmaceuticals (SNOA) CFO’s RSUs subject to specific timing or events?

Footnotes state the RSUs are associated with the third anniversary of the grant date or a change of control, indicating timing or event-related conditions before common stock is delivered.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 07/09/2026 - 08:46 PM Learn about SEC filing dates

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^*

DVONCH JEROME J

(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 Financial 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)
			Code	V	Amount	(A) or (D)	Price

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	$0.00(1)	07/09/2026		A		10,000		(2)	(2)	Common Stock	10,000	$0.00(1)(3)	44,391	D

Explanation of Responses:

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

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

3. The RSUs were awarded and granted to Mr. Dvonch for services performed.

	/s/ Jerome Dvonch	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)