Sono-Tek CEO exercises 13,171 vested stock options

The reported post-transaction option position was 87,304 options, while 6,286 common shares were surrendered to pay for the exercise.

Rhea-AI Filing Summary

R. Stephen Harshbarger, Sono-Tek Corp.’s CEO, reported exercising 13,171 vested options on October 6, 2026, at an exercise price of $3.25 per share. The same-date derivative transaction reports disposition to the issuer of 13,171 options, with 87,304 options reported following that disposition. Harshbarger also surrendered 6,286 common shares as payment for the option exercise.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider HARSHBARGER R STEPHEN

Role CEO

Type	Security	Shares	Price	Value
Disposition	Sono-Tek Options F1	13,171	$3.25	$43K
Exercise	Sono-Tek Common Stock F1	13,171	$3.25	$43K
Exercise Price or Tax Liability	Sono-Tek Common Stock F2	6,286	$6.81	$43K

Holdings After Transaction: Sono-Tek Options — 87,304 contracts (Direct); Sono-Tek Common Stock — 272,163 shares (Direct)

Footnotes (2)

1. F1. Reporting person exercised 13171 vested options.
2. F2. Reporting person surrendered 6286 shares of SonoTek common stock as payment for the exercise of options.

Key Figures

Vested options exercised: 13,171 options Exercise price: $3.25 per share Options disposed to issuer: 13,171 options +2 more

5 metrics

Vested options exercised 13,171 options October 6, 2026

Exercise price $3.25 per share Options exercised October 6, 2026

Options disposed to issuer 13,171 options October 6, 2026

Options following disposition 87,304 options Reported after the October 6, 2026 transaction

Common shares surrendered 6,286 common shares Payment for the exercise of options on October 6, 2026

Key Terms

vested options, exercise of options, Disposition to issuer

3 terms

vested options financial

"exercised 13171 vested options"

exercise of options financial

"payment for the exercise of options"

Disposition to issuer financial

"Disposition to issuer"

FAQ

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

What option transactions did Sono-Tek (SOTK)’s CEO report?

R. Stephen Harshbarger, Sono-Tek’s CEO, exercised 13,171 vested options at $3.25 per share on October 6, 2026. The transactions also report disposition to the issuer of 13,171 options, surrender of 6,286 common shares as payment for the exercise, and 87,304 options following the disposition.

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

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Available on EDGAR 10/07/2026 - 04:15 PM Accepted by SEC EDGAR 10/07/2026 - 04:15 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^*

HARSHBARGER R STEPHEN

(Last) (First) (Middle)

ROUTE 22

(Street)

PAWLING NEW YORK 12564

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
SONO TEK CORP [ SOTK ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/06/2026

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
Sono-Tek Common Stock	10/06/2026		M		13,171(1)	A	$3.25	278,449	D
Sono-Tek Common Stock	10/06/2026		F		6,286(2)	D	$6.81	272,163	D

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
Sono-Tek Options	$3.25	10/06/2026		D			13,171(1)	08/21/2026	08/21/2035	Sono-Tek Common Stock	13,171	$3.25	87,304	D

Explanation of Responses:

1. Reporting person exercised 13171 vested options.

2. Reporting person surrendered 6286 shares of SonoTek common stock as payment for the exercise of options.

	R STEPHEN HARSHBARGER	10/06/2026
	** 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)