Sonoma Pharmaceuticals, Inc. — Director's Dealing 2017

Jan 20, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Sonoma Pharmaceuticals, Inc. (SNOA)
CIK: 0001367083
Period of Report: 2017-01-19

Reporting Person: Umscheid Marc (Chief Strategy/Mkt Officer)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-01-19	Stock option (right to buy)	$5.15	A	55000	Acquired	2027-01-19	Common Stock (55000)	Direct

Footnotes

F1: The stock options vest in three years with the first one-third vesting on the first anniversary of the date of the grant, the second one-third vesting on the second anniversary of the date of the grant and the remainder vesting on the third anniversary of the date of the grant.

F2: The stock options were granted in connection with Mr. Umscheid's service as the Issuer's Chief Strategy and Chief Marketing Officer.