Sonoma Pharmaceuticals grants 7,500 RSUs to controller

Dal Poggetto John reported acquisition or exercise transactions in this Form 4 filing.

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

Rhea-AI Filing Summary

Dal Poggetto John reported acquisition or exercise transactions in this Form 4 filing.

Sonoma Pharmaceuticals, Inc. reported that Controller John Dal Poggetto received a grant of 7,500 Restricted Stock Units (RSUs), each representing a contingent right to 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, Dal Poggetto holds 32,750 RSUs directly, with no shares bought or sold in the market as part of this filing.

Insider Trade Summary

Grant/Award: 7,500 shares

Grant/Award 1 txn

Insider Dal Poggetto John

Role Controller

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock Units	7,500	$0.00	$0.00

Holdings After Transaction: Restricted Stock Units — 32,750 contracts (Direct)

Holdings Before and After: Restricted Stock Units, 25,250 to 32,750 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 vest on the third anniversary of the grant date, or upon change of control.
3. F3. The RSUs were awarded and granted to Mr. Dal Poggetto for services performed.

Key Figures

RSUs granted: 7,500 Restricted Stock Units Total RSUs after grant: 32,750 Restricted Stock Units Transaction price per unit: $0.0000 per RSU +1 more

4 metrics

RSUs granted 7,500 Restricted Stock Units Grant to Controller John Dal Poggetto as reported on the transaction date

Total RSUs after grant 32,750 Restricted Stock Units Direct holdings of John Dal Poggetto following the reported transaction

Transaction price per unit $0.0000 per RSU Equity award granted as compensation, not a market purchase or sale

Underlying common shares 7,500 shares Each RSU corresponds to one share of Sonoma Pharmaceuticals common stock

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"

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.

FAQ

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

What did Sonoma Pharmaceuticals (SNOA) disclose about John Dal Poggetto’s equity compensation?

Sonoma Pharmaceuticals disclosed that Controller John Dal Poggetto received 7,500 Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of common stock as part of his services compensation.

How many Restricted Stock Units were granted to the Sonoma Pharmaceuticals (SNOA) controller?

John Dal Poggetto was granted 7,500 RSUs. These RSUs are a form of equity compensation, each tied to one share of Sonoma Pharmaceuticals common stock upon vesting or settlement.

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

The RSUs vest on the third anniversary of the grant date or upon a change of control. Vesting means the RSUs convert into the right to receive common shares, subject to those conditions.

How many RSUs does Sonoma Pharmaceuticals (SNOA) controller hold after this transaction?

After the grant, John Dal Poggetto holds 32,750 RSUs directly. This total includes the newly awarded 7,500 RSUs, increasing his overall equity-based compensation position in the company.

Did Sonoma Pharmaceuticals (SNOA) controller buy or sell any shares in this Form 4?

No open-market purchases or sales were reported. The Form 4 reflects only a grant/award acquisition of 7,500 RSUs as compensation, with no simultaneous market transactions disclosed.

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

Each RSU represents a contingent right to receive one share of common stock. The right becomes effective when the vesting conditions are met, including time-based vesting or a change of control event.

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

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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^*

Dal Poggetto John

(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)
	Controller

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		7,500		(2)	(2)	Common Stock	7,500	$0.00(1)(3)	32,750	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	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)