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Sono-Tek (NASDAQ: SOTK) VP exercises options, surrenders shares for payment

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Sono-Tek Corp Vice President Brian Lewis Booth reported exercising vested stock options and adjusting his equity position in the company. On May 1, 2026, he exercised options into Sono-Tek Corp Common Stock at prices of $5.48, $4.45, and $4.12 per share.

Footnotes state that Booth exercised vested options and surrendered 3,299 shares of Sono-Tek Common Stock as payment for the option exercise, a non‑market transfer rather than an open‑market sale. Following these transactions, he continues to hold common stock directly and retains 12,153 Sono-Tek Corp Options with future expiration dates, reflecting an ongoing equity stake tied to the company’s performance.

Positive

  • None.

Negative

  • None.
Insider Booth Brian Lewis
Role Vice President
Type Security Shares Price Value
Exercise Sono-Tek Corp Options 0 $4.12 --
Exercise Sono-Tek Corp Options 0 $4.45 --
Exercise Sono-Tek Corp Common Stock 2,606 $4.12 $11K
Exercise Sono-Tek Corp Common Stock 1,650 $4.45 $7K
Exercise Sono-Tek Corp Common Stock 3,299 $5.48 $18K
Holdings After Transaction: Sono-Tek Corp Options — 12,153 shares (Direct, null); Sono-Tek Corp Common Stock — 3,259 shares (Direct, null)
Footnotes (1)
  1. Reporting person exercised vested options. Reporting person surrendered 3299 shares of Sono-Tek Common Stock as payment for the exercise of vested options.
Shares surrendered for payment 3,299 shares Sono-Tek Corp Common Stock surrendered to pay option exercise
Option exercise size 1 1,650 shares Underlying Sono-Tek Corp Common Stock at $4.45 per share
Option exercise size 2 2,606 shares Underlying Sono-Tek Corp Common Stock at $4.12 per share
Exercise price $5.48 per share Sono-Tek Corp Common Stock transaction on May 1, 2026
Options remaining 12,153 options Sono-Tek Corp Options held directly after reported transactions
Option strike (2031 expiry) $4.45 per share Sono-Tek Corp Options exercisable until January 15, 2031
Option strike (2034 expiry) $4.12 per share Sono-Tek Corp Options exercisable until August 22, 2034
vested options financial
"Reporting person exercised vested options."
Sono-Tek Corp Common Stock financial
"Sono-Tek Corp Common Stock"
Sono-Tek Corp Options financial
"Sono-Tek Corp Options"
Exercise or conversion of derivative security financial
"transaction_code_description: Exercise or conversion of derivative security"
derivative exercise/conversion financial
"transaction_action: derivative exercise/conversion"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Booth Brian Lewis
(Last)(First)(Middle)
1032 W MOUNTAIN RD
(Street)
QUEENSBURY NEW YORK 12804
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Vice President
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Sono-Tek Corp Common Stock05/01/2026M2,606(1)A$4.123,259D
Sono-Tek Corp Common Stock05/01/2026M1,650(1)A$4.454,909D
Sono-Tek Corp Common Stock05/01/2026M3,299(2)D$5.481,610D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Sono-Tek Corp Options$4.1205/01/2026M$2,606(1)08/22/202408/22/2034Sono-Tek Corp Common Stock2,606$4.1212,153D
Sono-Tek Corp Options$4.4505/01/2026M$1,650(1)01/15/202201/15/2031Sono-Tek Corp Common Stock1,650$4.4510,503D
Explanation of Responses:
1. Reporting person exercised vested options.
2. Reporting person surrendered 3299 shares of Sono-Tek Common Stock as payment for the exercise of vested options.
Stephen Bagley (attorney-in-fact)05/04/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Sono-Tek (SOTK) Vice President Brian Lewis Booth report?

Vice President Brian Lewis Booth reported exercising vested stock options into Sono-Tek Corp Common Stock. All transactions used code M, meaning option exercises or conversions, and occurred on May 1, 2026, reflecting compensation-related equity activity rather than open-market buying or selling.

How many Sono-Tek (SOTK) shares were used to pay for Brian Booth’s option exercise?

Footnotes state that Brian Booth surrendered 3,299 shares of Sono-Tek Common Stock to pay the cost of exercising vested options. This surrender is a non-market disposition to the issuer, covering exercise costs instead of using cash, and does not represent an open-market sale.

What option exercises did Brian Booth complete in Sono-Tek (SOTK) stock?

Brian Booth exercised vested options linked to 1,650 shares of Sono-Tek Corp Common Stock at $4.45 and 2,606 shares at $4.12. These option exercises convert derivative awards into common shares as part of compensation, without being classified as traditional open-market share purchases.

What Sono-Tek (SOTK) option position does Brian Booth hold after these transactions?

After the reported transactions, Booth holds 12,153 Sono-Tek Corp Options directly. These options have exercise prices including $4.45 and $4.12 and expiration dates in 2031 and 2034, leaving him with meaningful future exposure to the company’s share performance through unexercised awards.

Are Brian Booth’s Sono-Tek (SOTK) Form 4 transactions open-market buys or sales?

The transactions are classified with code M, indicating option exercises or conversions, not open-market purchases or sales. Footnotes explain he exercised vested options and surrendered 3,299 existing shares to pay exercise costs, so activity is compensation-related rather than discretionary trading in the market.

What prices are associated with Brian Booth’s Sono-Tek (SOTK) option exercises?

Booth’s reported option-related transactions reference prices of $5.48, $4.45, and $4.12 per share for Sono-Tek Corp Common Stock and options. These figures represent exercise or related prices tied to the derivative awards, defining the cost basis at which options convert into common shares.