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, Inc. filed a Form 8-K to provide investors with an updated company investor presentation, which is included as Exhibit 99.1 and dated September 29, 2025. The presentation is intended to give an overview of the company’s business, commercial activities, technology progress, and expectations for future financial performance.
The filing emphasizes that these expectations are forward-looking statements and may differ from actual results due to a range of risks. 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 use, challenges to the company’s patents, smaller-than-expected market opportunities, limited product penetration, and revenue levels that may not meet cash needs. Additional risks mentioned relate to foreign currency fluctuations, global economic conditions, trade policy changes, and varying regulatory and marketing requirements in different regions.
Sonoma Pharmaceuticals entered into an at-the-market equity program allowing it to sell common stock from time to time for an aggregate offering price of up to $2,070,463 under an effective Form S-3 shelf registration and related prospectus supplement. Sales will be made through Ladenburg Thalmann as sales agent, using methods that qualify as "at the market" offerings or other permitted transaction types, based on instructions the company provides.
Ladenburg will receive a 3% commission on gross proceeds from each share sale, and Sonoma agreed to reimburse up to $40,000 of specified expenses and provide customary indemnification. The company is not required to sell any shares, and no assurance is given that any sales will occur, or at what prices or times. The agreement lasts until all shares covered are sold or it is otherwise terminated as provided in the contract.
Sonoma Pharmaceuticals, Inc. is offering up to 492,967 shares of common stock in an at-the-market type offering at an example price of $4.20 per share. Prior to the offering there were 1,649,765 shares outstanding and the company states that up to 2,142,732 shares could be outstanding after the offering depending on sales price and authorization limits. Net proceeds are intended for working capital and general corporate purposes. The prospectus supplement discloses 105,500 RSUs outstanding that may dilute shareholders and shows a pro forma net tangible book value per share (adjusted for option exercises after June 30, 2025) of $2.47 with an increase attributable to the offering of $0.34 per share. The filing refers investors to the "Risk Factors" section and to incorporated reports including annual and quarterly reports and current reports filed in 2023 and 2025 for additional information.
Sonoma Pharmaceuticals, Inc. reported the results of its August 27, 2025 annual stockholder meeting. Of 1,642,765 common shares entitled to vote, 718,469 shares were present in person or by proxy, establishing voting participation.
Stockholders elected Dr. Jay Birnbaum as a Class II director with 123,034 votes for and 19,478 withheld. They also approved, on a non-binding advisory basis, the 2025 executive compensation program, with 112,548 votes for, 26,360 against, and 3,604 abstentions.
Stockholders ratified the appointment of Frazier & Deeter, LLC as independent registered public accounting firm for the fiscal year ending March 31, 2026, with 702,484 votes for, 13,569 against, and 2,416 abstentions. A proposal authorizing possible adjournment of the meeting to solicit additional proxies, if needed, was also approved, receiving 576,908 votes for, 140,513 against, and 1,048 abstentions.
Form 4 overview: Sonoma Pharmaceuticals, Inc. (Ticker: SNOA) reported an insider equity transaction by Executive VP & COO Bruce Thornton on 06/19/2025. The filing discloses a grant of 13,500 Restricted Stock Units (RSUs), each representing the contingent right to receive one share of common stock at no cost to the executive.
Key terms of the award:
- Transaction code: “A” (acquisition) – the shares were granted, not purchased on the open market.
- Exercise/Conversion price: $0.00, indicating a purely compensatory award.
- Vesting schedule: The RSUs vest in full on the third anniversary of the 06/19/2025 grant date or sooner upon a change-of-control event, as noted in the explanatory footnotes.
Following the grant, Mr. Thornton’s total derivative holdings increased to 32,191 RSUs. No non-derivative common shares were reported in Table I, and no sales or dispositions occurred. The filing was signed on 06/20/2025 by an attorney-in-fact and reflects routine executive compensation rather than a market transaction.
Investor takeaway: The insider’s equity exposure has risen through a standard RSU award, signalling continued alignment of management incentives with shareholder value but does not, by itself, provide insight into the company’s near-term financial performance.
Form 4 overview – Sonoma Pharmaceuticals (SNOA)
On 19 June 2025 Sonoma Pharmaceuticals filed a Form 4 detailing an equity-compensation grant to Chief Financial Officer Jerome J. Dvonch. The company awarded the executive 13,500 restricted stock units (RSUs), each convertible into one share of common stock at no exercise price. The award vests in full on the third anniversary of the grant date or earlier upon a change of control, aligning long-term incentives with shareholder value.
Following the grant, Mr. Dvonch’s derivative holdings increased to 25,515 RSUs, all held directly. No open-market purchase or sale of common stock occurred, and therefore the transaction has no immediate cash impact on the executive, the company, or existing shareholders; any dilution will materialise only when the RSUs convert to shares. The filing is a routine disclosure required under Section 16(a) and does not signal a material change in Sonoma Pharmaceuticals’ operations, strategy, or near-term financial outlook.