Bergheim Olav's Form 4 filing
Sonendo, Inc. (SONX) · filed Nov 2, 2021
- Accession no.
- 0000899243-21-042410
- Filed
- Nov 2, 2021
- Trade date
- Nov 2, 2021
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 11 derivative transactions. Open-market purchases total $402.0K. It was filed on the trade date.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Bergheim OlavCIK 0001207793 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2021 | Common Stock | CConversionAcquired | +1,090,752 | –F1 | – | 1,090,752 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionAcquired | +393,473 | –F1 | – | 393,473 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionAcquired | +52,766 | –F1 | – | 66,464 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionAcquired | +21,713 | –F1 | – | 131,302 | Indirect | |
| Nov 2, 2021 | Common Stock | PPurchaseAcquired | +33,500 | $12.00 | +$402,000 | 164,802 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionAcquired | +691,628 | –F1 | – | 691,628 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionAcquired | +286,673 | –F1 | – | 286,673 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionAcquired | +24,906 | –F1 | – | 24,906 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2021 | Common Stock | CConversionDisposed | −592,372 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −159,170 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −99,626 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −239,584 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −393,473 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −52,766 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −21,713 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −592,002 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −99,626 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −286,673 | –F1 | – | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −24,906 | –F1 | – | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis.
Referenced by the price of 7 transactions in Table I and 11 transactions in Table II.