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Sonos Inc — Director's Dealing 2018
Aug 2, 2018
31833_dirs_2018-08-01_84190e82-0a1c-4334-96a8-ed0b5531e61e.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Sonos Inc (SONO)
CIK: 0001314727
Period of Report: 2018-08-01
Reporting Person: BACH ROBERT J (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 70386 | Direct |
| Common Stock | 16000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $0 | Common Stock (27716) | Direct | ||
| Series B Preferred Stock | $0 | Common Stock (17196) | Direct | ||
| Series D Preferred Stock | $0 | Common Stock (52236) | Direct | ||
| Series A Preferred Stock | $0 | Common Stock (12000) | Indirect | ||
| Series A Preferred Stock | $0 | Common Stock (12000) | Indirect | ||
| Director Stock Option (right to buy) | $1.925 | 2022-02-01 | Common Stock (20000) | Direct | |
| Director Stock Option (right to buy) | $1.70 | 2021-09-08 | Common Stock (160000) | Direct | |
| Director Stock Option (right to buy) | $18.305 | 2025-03-10 | Common Stock (6724) | Direct | |
| Director Stock Option (right to buy) | $13.56 | 2026-11-14 | Common Stock (31768) | Direct | |
| Director Stock Option (right to buy) | $15.025 | 2027-11-06 | Common Stock (7942) | Direct |
Footnotes
F1: The shares are held by the Pauline M. Bach 2016 Annuity Trust, of which the Reporting Person's spouse is a beneficiary.
F2: Each share of Preferred Stock will be automatically converted into one (1) share of the Issuer's Common Stock, for no additional consideration, immediately prior to the consummation of the Issuer's initial public offering, and has no expiration date.
F3: The shares are held by the Pauline M. Bach 2013 Annuity Trust, of which the Reporting Person's spouse is a beneficiary.
F4: The shares are held by the Robert J. Bach 2013 Annuity Trust, for which the Reporting Person serves as a trustee.
F5: The stock option is fully vested and immediately exercisable.
F6: The stock option vested and became exercisable, and shall continue to vest and become exercisable, in 48 equal monthly installments beginning on April 11, 2015, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.
F7: The stock option vested and became exercisable, and shall continue to vest and become exercisable, in 48 equal monthly installments beginning on October 8, 2016, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.
F8: The stock option vested and became exercisable, and shall continue to vest and become exercisable, in 48 equal monthly installments beginning on November 1, 2017, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.