SOTK Form 4: CEO Granted 29,268 Options at $3.25

Sono-Tek Corporation (SOTK) insider filing: CEO Stephen R. Harshbarger reported an option grant on 08/21/2025.

Rhea-AI Filing Summary

Sono-Tek Corporation (SOTK) insider filing: CEO Stephen R. Harshbarger reported an option grant on 08/21/2025. The report shows acquisition of 29,268 Sono-Tek options with an exercise price of $3.25 per share.

The options become exercisable on 08/21/2026 and expire on 08/21/2035. Following the reported transaction, Mr. Harshbarger beneficially owns 83,184 shares (direct).

Positive

• CEO acquired long-term incentive options: 29,268 options granted at $3.25 each
• Clear exercisability and expiration dates: exercisable 08/21/2026, expiring 08/21/2035
• Increased direct ownership: beneficial ownership reported as 83,184 shares following the transaction

Negative

• None.

Insights

Financial Analyst

TL;DR: CEO received an option grant for 29,268 shares at $3.25, increasing direct beneficial ownership to 83,184 shares.

The filing documents a standard executive equity award rather than a market sale or financing event. The grant price of $3.25 and the ten-year term with one-year vesting/initial exercisability are typical for long-term incentive options, designed to align management with shareholder value over time. No cash proceeds, dispositions, or derivative exercises are reported. This is a routine disclosure under Section 16 showing an insider acquisition of derivative securities.

Corporate Governance Expert

TL;DR: Routine Form 4 reports an option issuance to the CEO; disclosure meets Section 16 requirements.

The statement includes clear transaction details: grant date 08/21/2025, exercise price $3.25, exercisable 08/21/2026, expiration 08/21/2035, and resulting beneficial ownership of 83,184 shares. The filing is properly signed and dated 08/22/2025. No amendments, joint filings, or indirect ownership notes are included. From a governance perspective, this is a standard, timely insider disclosure with no adverse signals in the filing itself.

Insider Trade Summary

Grant/Award: 29,268 shares

Grant/Award 1 txn

Insider HARSHBARGER R STEPHEN

Role CEO

Type	Security	Shares	Price	Value
Grant/Award	Sono-Tek Options	29,268	$3.25	$95K

Holdings After Transaction: Sono-Tek Options — 83,184 contracts (Direct)

FAQ

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

What did SOTK CEO Stephen Harshbarger report on Form 4?

He reported acquisition of 29,268 Sono-Tek options at an exercise price of $3.25 per share on 08/21/2025.

When do the options become exercisable and when do they expire?

The options are exercisable on 08/21/2026 and expire on 08/21/2035.

How many shares does the reporting person own after the transaction?

Following the reported transaction, Stephen Harshbarger beneficially owns 83,184 shares (direct).

Was this Form 4 filed jointly or by a single reporting person?

The form was filed by one reporting person (individual filing).

Does the filing show any dispositions or sales by the reporting person?

No. The filing reports an acquisition (A) of derivative securities (options); no dispositions are listed.

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

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Accepted by SEC EDGAR 08/25/2025 - 04:18 PM EDT 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 NY 12564

(City) (State) (Zip)

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

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

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

3. Date of Earliest Transaction (Month/Day/Year)
08/21/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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
Sono-Tek Options	$3.25	08/21/2025		A		29,268		08/21/2026	08/21/2035	Sono-Tek Corp Common Stock	29,268	$3.25	83,184	D

Explanation of Responses:

Remarks:

	Stephen Harshbarger	08/22/2025
	** 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.