Dal Poggetto John Form 3 Sonoma Pharmaceuticals / Poggetto John Dal ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Dal Poggetto John

(Last) (First) (Middle)

1129 N. MCDOWELL BLVD

(Street)

PETALUMA CA 94954

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/27/2019

3. Issuer Name and Ticker or Trading Symbol
Sonoma Pharmaceuticals, Inc. [ SNOA ]

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

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

5. 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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, $0.0001 par value per share	115	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	02/25/2010	02/25/2020	Common Stock	223	576.45	D
Stock Option (right to buy)	05/17/2011	05/17/2021	Common Stock	286	595.35	D
Stock Option (right to buy)	08/24/2015	08/24/2022	Common Stock	96	292.95	D
Stock Option (right to buy)	09/19/2016	09/19/2023	Common Stock	238	133.65	D
Stock Option (right to buy)	03/04/2017	03/04/2024	Common Stock	1,648	175.5	D
Stock Option (right to buy)	08/21/2015	08/21/2025	Common Stock	1,251	52.2	D
Stock Option (right to buy)	(1)	08/21/2025	Common Stock	420	52.2	D
Stock Option (right to buy)	(2)	04/11/2027	Common Stock	1,334	61.92	D

Explanation of Responses:

1. Options vest upon the achievement of certain goals.

2. Options vest in three equal tranches annually on the grant date anniversary, beginning on April 11, 2018 and becoming fully vested on April 11, 2020.

	/s/ John Dal Poggetto	10/15/2019
	** 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 5 (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).
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