Sonoma Pharmaceuticals (SNOA) awards 5,000 RSUs to Controller Dal Poggetto

Rhea-AI Filing Summary

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.

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

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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^*

Dal Poggetto John

(Last) (First) (Middle)

C/O SONOMA PHARMACEUTICALS, INC.

5445 CONESTOGA COURT, SUITE 150

(Street)

BOULDER CO 80301

(City) (State) (Zip)

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)
	Controller

3. Date of Earliest Transaction (Month/Day/Year)
01/02/2026

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

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

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

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)	01/02/2026		A		5,000		(2)	(2)	Common Stock	5,000	$0.00(1)(3)	25,250	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 Mr. Dal Poggetto for services performed.

	/s/ John Dal Poggetto	01/02/2026
	** 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.

FAQ

What insider transaction did Sonoma Pharmaceuticals (SNOA) disclose for January 2, 2026?

Sonoma Pharmaceuticals disclosed that officer John Dal Poggetto, the Controller, received an award of 5,000 restricted stock units (RSUs) on 01/02/2026.

How many Sonoma Pharmaceuticals (SNOA) shares are covered by the new RSU grant?

The grant covers 5,000 restricted stock units, and each RSU represents a contingent right to receive one share of common stock.

What are the vesting conditions for the RSUs granted to John Dal Poggetto at Sonoma Pharmaceuticals (SNOA)?

The RSUs vest on the third anniversary of the grant date, or they may vest earlier upon a change of control, as stated in the filing.

What position does John Dal Poggetto hold at Sonoma Pharmaceuticals (SNOA)?

John Dal Poggetto is identified as an officer of Sonoma Pharmaceuticals, serving as the company’s Controller.

How many derivative securities does John Dal Poggetto beneficially own after this transaction at Sonoma Pharmaceuticals (SNOA)?

After the reported RSU grant, John Dal Poggetto beneficially owns 25,250 derivative securities related to Sonoma Pharmaceuticals common stock, held directly.

Why were the restricted stock units granted to John Dal Poggetto at Sonoma Pharmaceuticals (SNOA)?

The disclosure states that the RSUs were awarded and granted to Mr. Dal Poggetto for services performed for Sonoma Pharmaceuticals.