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 director granted new stock options
A director of Sonoma Pharmaceuticals, Inc. received a stock option grant covering 10,000 shares of common stock on 01/02/2026 at an exercise price of $3.68 per share. These options vest in three equal parts on 01/02/2027, 01/02/2028, and 01/02/2029, or earlier upon a change of control, and expire on 01/02/2036. After this grant, the director beneficially owns 20,001 derivative securities, held directly, as compensation for Board service under the company’s annual stock option program.
Sonoma Pharmaceuticals disclosed that Chief Executive Officer Amy Trombly received an equity grant in the form of restricted stock units (RSUs). On 01/02/2026, she was awarded 10,000 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 earlier upon a change of control, aligning the CEO’s compensation with longer-term company performance. Following this grant, Ms. Trombly beneficially owns 42,185 derivative securities related to Sonoma stock in direct ownership.
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.
Sonoma Pharmaceuticals (SNOA) reported Q2 FY2026 results. Revenue was $5.604 million, up 57% year over year, with gross profit of $2.120 million and a gross margin of 38%. Net loss narrowed to $0.534 million (basic and diluted EPS $(0.32)) from a $0.610 million loss a year ago.
Six-month performance: Revenue reached $9.619 million, up 38% year over year, with gross profit of $3.584 million and a 37% margin. Operating expenses were $2.457 million in Q2 and $5.016 million for the first half.
Cash and liquidity: Cash and equivalents were $3.035 million at September 30, 2025, and net cash used in operating activities was $2.650 million for the six months. Working capital was $8.179 million. Management disclosed “substantial doubt” about the company’s ability to continue as a going concern within one year without additional capital. Subsequent to quarter end, the company sold 51,436 shares via its at-the-market program for gross proceeds of $232,000 and net proceeds of $170,000. Shares outstanding were 1,701,076 as of November 3, 2025.
Sonoma Pharmaceuticals reported a leadership change. The company terminated Bruce Thornton as Executive Vice President and Chief Operating Officer, effective October 18, 2025. He also left any other positions at the company and its subsidiaries.
According to the disclosure, Mr. Thornton will receive only compensation and benefits earned through October 18, 2025. The filing did not state any additional payments. Sonoma’s common stock trades on Nasdaq under the symbol SNOA.
Sonoma Pharmaceuticals updated its leadership arrangements. The company entered into an amended and restated employment agreement with its Chief Executive Officer, Amy Trombly, effective October 3, 2025. The agreement provides a base salary of $475,000 per year and makes her eligible for a target annual bonus of 50% of base salary at the Compensation Committee’s discretion. It also refines definitions of Cause and Good Reason and updates covenants to align with what the company describes as best practices.
Severance and benefits for Ms. Trombly are clarified, including salary-continuation payments and COBRA reimbursement up to twelve months for certain terminations, and increased to two times salary and target bonus plus up to twenty-four months of COBRA reimbursement if a qualifying termination occurs in connection with a Change in Control. Separately, Executive Vice President and Chief Operating Officer Bruce Thornton notified the company that he will retire effective December 2, 2025, and the Chief Operating Officer position will be eliminated. Mr. Thornton will receive $300,000 in severance, COBRA reimbursement for up to twelve months, and favorable treatment of his equity awards, subject to a general release of claims.
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.