Misonix (MSON) Form 3 MISONIX / Jonathan Jay Waggoner 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^*

Waggoner Jonathan Jay

(Last) (First) (Middle)

C/O MISONIX, INC.

1938 NEW HIGHWAY

(Street)

FARMINGDALE NY 11735

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/20/2020

3. Issuer Name and Ticker or Trading Symbol
MISONIX INC [ MSON ]

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

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SVP, Wound Sales

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	5,386(1)	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(2)	(3)	06/30/2020	Common Stock	8,000	13.57	D

Explanation of Responses:

1. 1,317 of the shares of Common Stock issued to Mr. Waggoner, are being held in escrow and are subject to forfeiture during the 15-month period following the effective date of the merger, pursuant to the Agreement and Plan of Merger between Misonix, Inc., New Misonix, Inc., Motor Reincorp. Sub One, Inc., Surge Sub Two, LLC, Solsys Medical, LLC, and Greg Madden solely in his capacity as representative, to satisfy any post-closing purchase price adjustments and indemnification claims.

2. Grant of stock options under the Misonix, Inc. 2017 Equity Incentive Plan.

3. Represents grant of stock options on June 30, 2020, of which 833 shares are currently exercisable and the remainder of which vest in equal monthly installments through June 30, 2024.

	/s/ Jay Waggoner	11/30/2020
	** 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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