Michael P. Watts - 28 Oct 2021 Form 3 Insider Report for Sonendo, Inc. (SONX)

Role
Chief Financial Officer
Signature
/s/ Jacqueline Collins, Attorney-in-Fact for Michael P. Watts
Issuer symbol
SONX
Transactions as of
28 Oct 2021
Net transactions value
$0
Form type
3
Filing time
28 Oct 2021, 21:46:11 UTC
Next filing
02 Nov 2021
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding SONX Stock Option 28 Oct 2021 Common Stock 99,625 $4.02 Direct F1
holding SONX Stock Option 28 Oct 2021 Common Stock 43,894 $4.02 Direct F2
holding SONX Stock Option 28 Oct 2021 Common Stock 41,205 $7.01 Direct F3
holding SONX Stock Option 28 Oct 2021 Common Stock 72,462 $12.00 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The option vests in four equal annual installments beginning November 6, 2017.
F2 The option vests as to 25% of the underlying shares of Common Stock on November 6, 2018 and with respect to the remaining shares in 36 equal monthly installments thereafter.
F3 The option vests in 48 equal monthly installments beginning on March 17, 2020.
F4 The option vests and becomes exercisable in 16 equal quarterly installments beginning on October 28, 2021.

Remarks:

Exhibit 24 - Power of Attorney.