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| LEI | 54930008C5Z4F02SWO71 |
| CIK | 1367083 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Sonoma Pharmaceuticals, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 27, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| August 7, 2025 |
Exhibit 10.31 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Amendment No.3 to Master Supply Agreement This Amendment No. 3 to Master Supply Agreement (this “Amendment”) is entered into as of July 23, 2025 (the “Amendment Effective Date”) by and between Sonoma Pharmaceu |
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| August 7, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| July 11, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240. |
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| June 17, 2025 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sonoma Pharmaceuticals, Inc. |
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| June 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA |
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| June 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. |
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| June 17, 2025 |
Exhibit 10.30 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Amendment No.2 to Master Supply Agreement This Amendment No. 2 to Master Supply Agreement (this “Amendment”) is entered into as of June 2, 2025 (the “Amendment Effective Date”) by and between Sonoma Pharmaceut |
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| June 17, 2025 |
Exhibit 10.31 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Distribution and Supply Agreement This Distribution and Supply Agreement is entered into as of March 28, 2025 (the “Effective Date”) by and between Sonoma Pharmaceuticals, Inc., a Delaware corporation having a |
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| June 17, 2025 |
Exhibit 19 Sonoma pharmaceuticals, INC. Policy as to Trades in the Company’s Securities by Company Personnel and Treatment of Confidential Information As amended on December 20, 2023 Purpose Both the Securities and Exchange Commission (the “SEC”) and Congress are very concerned about maintaining the fairness of the U.S. securities markets. The securities laws are continually reviewed and amended t |
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| April 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 28, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| April 28, 2025 |
Sonoma Pharmaceuticals, Inc. Investor Presentation April 2025 Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation April 2025 1 Legal Disclaimers or INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assumptions m |
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| April 7, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 7, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| April 7, 2025 |
Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation April 2025 Legal Disclaimers or INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assumptions mad |
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| March 25, 2025 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Amendment No.1 to Master Supply Agreement This Amendment No. 1 to Master Supply Agreement (this “Amendment”) is entered into as of March 21, 2025 (the “Amendment Effective Date”) by and between Sonoma Pharmaceu |
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| March 25, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 21, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| February 5, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| January 30, 2025 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Master Supply Agreement This Master Supply Agreement is entered into as of January 29, 2025 (the “Effective Date”) by and between Sonoma Pharmaceuticals, Inc., a Delaware corporation having a place of business |
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| January 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 29, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| January 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 2, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| December 20, 2024 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sonoma Pharmaceuticals, Inc. |
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| December 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. |
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| November 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 21, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| November 7, 2024 |
Code of Business Conduct, as revised and adopted on November 5, 2024 Exhibit 14.1 Code of Business Conduct Revised November 5, 2024 Introduction It is the general policy of Sonoma Pharmaceuticals, Inc. (the “Company”) to conduct its business activities and transactions with the highest level of integrity and ethical standards and in accordance with all applicable laws. In carrying out this policy, the Board of Directors of the Company has adopted the following Code |
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| November 7, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| October 22, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 17, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| October 22, 2024 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] AMENDMNET NO. 1 TO DISTRIBUTION AGREEMENT This Amendment No. 1 (this “Amendment”) to the Distribution Agreement, dated August 19, 2024 (the “Original Agreement”), between Medline Industries, LP, an Illinois lim |
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| October 22, 2024 |
Sonoma Pharmaceuticals, Inc. Investor Presentation October 2024 Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation October 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assumptions made |
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| September 20, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 20, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo |
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| September 20, 2024 |
Up to $835,400 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 20, 2023) Up to $835,400 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023, as amended on March 8, 2024 (collectively, the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), relati |
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| August 28, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED OF SONOMA PHARMACEUTICALS, INC. Sonoma Pharmaceuticals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”) does hereby certify that: FIRST: That at a meeting of the Board of Directors of the Corporation resolutions wer |
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| August 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 23, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| August 28, 2024 |
Sonoma Pharmaceuticals Announces 1-for-20 Reverse Split of Outstanding Common Stock Exhibit 99.1 Sonoma Pharmaceuticals Announces 1-for-20 Reverse Split of Outstanding Common Stock August 28, 2024 / BOULDER, CO / Sonoma Pharmaceuticals, Inc. (Nasdaq:SNOA), a global healthcare leader developing and producing patented Microcyn® technology based stabilized hypochlorous acid (HOCl) products for a wide range of applications, including wound care, eye, oral and nasal care, dermatologic |
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| August 23, 2024 |
Up to $1,270,352 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 20, 2023) Up to $1,270,352 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023, as amended on March 8, 2024 (collectively, the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), rela |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 22, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| August 21, 2024 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] DISTRIBUTION AGREEMENT This Distribution Agreement, effective on August 19th, 2024 (the “Effective Date”), is between Medline Industries, LP, an Illinois limited partnership with its principal offices located a |
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| August 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 19, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| August 15, 2024 |
5445 Conestoga Court, Suite 150 Boulder, Colorado 80301 EXTREMELY IMPORTANT August 14, 2024 Re: Sonoma Pharmaceuticals, Inc. |
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| August 15, 2024 |
NOTICE OF ADJOURNMENT OF ANNUAL MEETING YOUR PARTICIPATION IS REQUESTED 5445 Conestoga Court, Suite 150 Boulder, Colorado 80301 NOTICE OF ADJOURNMENT OF ANNUAL MEETING YOUR PARTICIPATION IS REQUESTED August 14, 2024 Dear Fellow Stockholder: According to our latest records, we have not yet received your voting instructions for the Annual Meeting of Stockholders of Sonoma Pharmaceuticals, Inc. |
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| August 8, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| July 24, 2024 |
YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY 5445 Conestoga Court, Suite 150 Boulder, Colorado 80301 (800) 759-9305 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY July 24, 2024 Dear Fellow Stockholder: We are reaching out to you regarding the proxy materials that you recently received in connection to the annual meeting of stockholders of Sonoma Pharmaceuticals, Inc. |
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| July 1, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240. |
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| June 27, 2024 |
Up to $434,102 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 20, 2023) Up to $434,102 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023, as amended on March 8, 2024 (collectively, the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), relati |
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| June 27, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 27, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| June 21, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240. |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA |
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| June 17, 2024 |
Exhibit 3.10 AMENDMENT NO. 1 TO THE AMENDED AND RESTATED BYLAWS OF SONOMA PHARMACEUTICALS, INC. On June 14, 2024 the Board of Directors of Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), approved by unanimous written consent to amend the Corporation’s Amended and Restated Bylaws as follows: 1. Section 2.8 of the Amended and Restated Bylaws is hereby amended and restated i |
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| June 17, 2024 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sonoma Pharmaceuticals, Inc. |
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| June 17, 2024 |
Sonoma Pharmaceuticals, Inc. Compensation Clawback Policy Exhibit 97 SONOMA PHARMACEUTICALS, INC. COMPENSATION CLAWBACK POLICY In accordance with the applicable rules of The Nasdaq Stock Market (the “Nasdaq Rules”) and Section 10D and Rule 10D-1 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (“Rule 10D-1”), the Board of Directors (the “Board”) of Sonoma Pharmaceuticals, Inc. (the “Company”) has adopted this Policy (the “Policy”) |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. |
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| April 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 9, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| April 9, 2024 |
Sonoma Pharmaceuticals, Inc. Investor Presentation April 9, 2024 Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation April 9, 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 2, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| April 2, 2024 |
Sonoma Pharmaceuticals, Inc. Investor Presentation April 2024 Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation April 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons mad |
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| March 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 21, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| March 8, 2024 |
Up to $785,679 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Filed Pursuant to Rule 424(b)(3) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 22, 2023) Up to $785,679 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023, as amended on March 8, 2024 (collectively, the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), relati |
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| March 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 8, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| March 8, 2024 |
Exhibit 1.1 AMENDMENT NO. 1 TO EQUITY DISTRIBUTION AGREEMENT March 8, 2024 Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Maxim Group LLC, as sales agent (the “Agent”), are parties to that certain Equity Distribution Agreement dated as of December 15, 2023 (the “Original Agreement” |
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| February 8, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| February 8, 2024 |
Offer letter to John Dal Poggetto dated February 7, 2024. Exhibit 10.42 February 7, 2024 John Dal Poggetto Re: Offer of Full-Time Employment Sonoma Pharmaceuticals, Inc. Dear John, Sonoma Pharmaceuticals, Inc. (hereinafter the “Company”) is converting your position to full-time employee effective this pay period. You will retain the title of Controller and you will report directly to Jerry Dvonch, Chief Financial Officer. This is a remote position with t |
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| February 8, 2024 |
Offer letter to Jerome Dvonch dated February 7, 2024. Exhibit 10.41 February 7, 2024 Jerome Dvonch Re: Offer of Employment as Chief Financial Officer Sonoma Pharmaceuticals, Inc. Dear Jerry, Sonoma Pharmaceuticals, Inc. (hereinafter the “Company”) is pleased to offer you the position of Chief Financial Officer effective February 7, 2024. You will be appointed to the position by the Board of Directors and you will report directly to Amy Trombly, Chief |
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| January 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 10, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| January 10, 2024 |
Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation January 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons m |
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| January 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 5, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| January 9, 2024 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] License AND distribution Agreement This License and Distribution Agreement (this “Agreement”) is made and entered into as of January 5, 2024, by and between NovaBay Pharmaceuticals, Inc., a Delaware corporation |
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| December 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 29, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| December 18, 2023 |
Exhibit 1.1 Sonoma Pharmaceuticals, Inc. Shares of Common Stock (par value, $0.0001 per share) EQUITY DISTRIBUTION AGREEMENT December 15, 2023 Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to issue and sell through Maxim Group LLC, as exclusive sales agent (the “Agent”), shar |
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| December 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 15, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| December 15, 2023 |
Up to $392,077 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Filed Pursuant to Rule 424(b)(3) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 22, 2023) Up to $392,077 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023 (the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), relating to the sale of shares of our common stoc |
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| November 22, 2023 |
PROSPECTUS SONOMA PHARMACEUTICALS, INC. Common Stock Preferred Stock Debt Securities Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS $51,300,000 SONOMA PHARMACEUTICALS, INC. Common Stock Preferred Stock Debt Securities Warrants Units We may, from time to time, offer and sell common stock, preferred stock, debt securities or warrants, either separately or in units, in one or more offerings. The preferred stock and warrants may be convertible into or exercisa |
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| November 17, 2023 |
November 17, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| November 13, 2023 |
Exhibit 10.38 Lease Amendment This First Amendment to the Lease (this “First Amendment”) is made June 21, 2023, by and between WESTLAND DEVELOPMENT SERVICES, INC., a Colorado Corporation, (the “Landlord”), and SONOMA PHARMACEUTICALS, INC., a(n) Delaware Corporation (the “Tenant”). RECITALS A. The Landlord and the Tenant entered into that certain Lease, dated February 19, 2021 (the “Original Lease” |
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| November 13, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| November 13, 2023 |
Exhibit 10.20 Lease Agreement BY AND BETWEEN Westland Development Services, Inc. (“Landlord”) AND (“Tenant”) Sonoma Pharmaceuticals, Inc. 1 This Lease Agreement (“Lease”) is made effective as of February 19, 2021, by and between WESTLAND DEVELOPMENT SERVICES, INC., A COLORADO CORPORATION (“Landlord”), and Sonoma Pharmaceuticals, Inc. , A Delaware Corporation (“Tenant”). For valuable consideration, |
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| November 3, 2023 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) Sonoma Pharmaceuticals, Inc. |
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| November 3, 2023 |
As filed with the Securities and Exchange Commission on November 3, 2023. Table of Contents As filed with the Securities and Exchange Commission on November 3, 2023. |
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| November 3, 2023 |
Form of Indenture, by and between the Company and one or more trustees to be named Exhibit 4.3 SONOMA PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [•], 20 Debt Securities INDENTURE Indenture, dated as of [•], 20, among SONOMA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and [Trustee], as trustee (the “Trustee”): Whereas, for its lawful corporate purposes, the Company has duly authorized the execution and delivery of this Indenture |
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| October 30, 2023 |
8,500,000 Shares of Common Stock SONOMA PHARMACEUTICALS, INC. Table of Contents Filed pursuant to Rule 424(b)(4) Registration No. 333-274582 8,500,000 Shares of Common Stock SONOMA PHARMACEUTICALS, INC. We are offering on a best efforts basis 8,500,000 shares of our common stock, $0.0001 par value per share (the “Common Stock”), at a public offering price of $0.20 per share. See “Description of Securities” in this prospectus for more information. We sometime |
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| October 24, 2023 |
October 24, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 24, 2023 |
Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 October 24, 2023 Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 October 24, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 13, 2023 |
October 13, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 13, 2023 |
As filed with the Securities and Exchange Commission on October 13, 2023. Table of Contents As filed with the Securities and Exchange Commission on October 13, 2023. |
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| October 13, 2023 |
Form of Securities Purchase Agreement Exhibit 10.38 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [], 2023, between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions |
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| October 13, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Sonoma Pharmaceuticals, Inc. |
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| October 13, 2023 |
Form of Placement Agency Agreement Exhibit 1.1 PLACEMENT AGENCY AGREEMENT [], 2023 Sonoma Pharmaceuticals, Inc. 5445 Conestoga Court, Suite 150 Boulder, Colorado 80301 Attention: Amy Trombly, Chief Executive Officer Dear Ms. Trombly: This letter agreement (the “Agreement”) constitutes the agreement between Maxim Group LLC (“Maxim” or the “Placement Agent”) and Sonoma Pharmaceuticals, Inc., a Delaware corporation (together with its |
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| October 11, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 11, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo |
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| October 11, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 11, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| October 11, 2023 |
Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation October 2023 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons m |
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| October 11, 2023 |
Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation October 2023 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons m |
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| September 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 22, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo |
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| September 19, 2023 |
As filed with the Securities and Exchange Commission on September 19, 2023. Table of Contents As filed with the Securities and Exchange Commission on September 19, 2023. |
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| September 19, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Sonoma Pharmaceuticals, Inc. |
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| September 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material Pursuant §240. |
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| August 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| July 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240. |
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| July 14, 2023 |
Offer letter to John Dal Poggetto dated July 11, 2023 Exhibit 10.1 July 11, 2023 John Dal Poggetto Re: Offer of Employment Sonoma Pharmaceuticals, Inc. Dear John, Sonoma Pharmaceuticals, Inc. (hereinafter the “Company”) is pleased to offer you the position of Controller. You will be appointed to the position by the Board of Directors and you will report directly to Jerry Dvonch, Interim Chief Financial Officer. This is a remote position with the exce |
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| July 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 11, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| July 14, 2023 |
Exhibit 10.2 Consulting Agreement This Consulting Agreement (this “Agreement”) is entered into and effective as of August 15, 2023 (the “Effective Date”), by and between Jerome Dvonch Consulting, LLC, a Georgia limited liability company whose principal address is 888 Treadstone Overlook, Suwanee Georgia 30024 (“Consultant”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation whose principal |
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| June 21, 2023 |
Exhibit 10.38 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Amy Trombly (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of June 16, 2023 (the “Effective Date”). This Agreement replaces that certain employment agreement dated as of July 22, 2022, and enter |
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| June 21, 2023 |
Exhibit 10.39 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Bruce Thornton (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of June 16, 2023 (the “Effective Date”). This Agreement replaces that certain employment agreement dated as of July 22, 2022, and en |
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| June 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 10, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of |
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| May 10, 2023 |
Sonoma Pharmaceuticals, Inc. May 2023 Exhibit 99.1 Sonoma Pharmaceuticals, Inc. May 2023 1 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made within or the accura |
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| April 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 7, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| April 13, 2023 |
Consulting Agreement, by and between the Company and Jerome Dvonch, dated April 7, 2023 Exhibit 10.1 Consulting Agreement This Consulting Agreement (this “Agreement”) is entered into and effective as of April 7, 2023 (the “Effective Date”), by and between Jerome Dvonch, an individual (“Consultant”) whose address is 888 Treadstone Overlook, Suwanee Georgia 30024, and Sonoma Pharmaceuticals, Inc., a Delaware corporation whose principal address is 5445 Conestoga Court, Suite 150, Boulde |
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| February 24, 2023 |
Up to $420,838 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Filed Pursuant to Rule 424(b)(5) Registration No. 333-250925 Supplement dated February 24, 2023 To Prospectus Supplement dated December 23, 2022 (To the Prospectus Dated December 23, 2020) Up to $420,838 SONOMA PHARMACEUTICALS, INC. COMMON STOCK This supplement (this “Supplement”) amends and supplements the prospectus supplement, dated December 23, 2022 (the “Prospectus Supplement”), filed as part |
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| February 24, 2023 |
Exhibit 1.1 February 24, 2023 Sonoma Pharmaceuticals, Inc. 54445 Conestoga Court, Suite 150 Boulder, CO 80301 Attn: Amy Trombly, President & CEO Dear Ms. Trombly: Reference is made to the At The Market Offering Agreement, dated as of December 23, 2022 (the “ATM Agreement”), between Sonoma Pharmaceuticals, Inc. (the “Company”) and Ladenburg Thalmann & Co., Inc. (the “Ladenburg”). This letter (the |
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| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 24, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| February 14, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| January 31, 2023 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Exclusive Distribution and Supply Agreement This Exclusive Distribution and Supply Agreement is entered into as of January 26, 2023 (the “Effective Date”) by and between Sonoma Pharmaceuticals, Inc., a Delaware |
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| January 31, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 26, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| January 6, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 6, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| January 6, 2023 |
Exhibit 99.1 Sonoma Pharmaceuticals, Inc. January 202 3 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made within or the acc |
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| December 30, 2022 |
Exhibit 10.1 SONOMA PHARMACEUTICALS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION PROGRAM AND STOCK OWNERSHIP GUIDELINES Revised by the Board of Directors on December 29, 2022 Non-Employee Director For purposes of this Non-Employee Director Compensation Program, a ?non-employee director? is any director of the Company that is not also an employee of the Company or any of its subsidiaries. Directors who |
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| December 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 29, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| December 23, 2022 |
Up to $2,700,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-250925 PROSPECTUS SUPPLEMENT (to Prospectus dated December 23, 2020) Up to $2,700,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an At The Market Offering Agreement which we refer to herein as the ATM Agreement, with Ladenburg Thalmann & Co. Inc., or Ladenburg, as the Manager, relating to the sale of shares |
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| December 23, 2022 |
Exhibit 1.1 AT THE MARKET OFFERING AGREEMENT December 23, 2022 Ladenburg Thalmann & Co. Inc. 277 Park Avenue New York, NY 10172 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), confirms its agreement (this ?Agreement?) with Ladenburg Thalmann & Co. Inc. (the ?Manager?) as follows: 1. Definitions. The terms that follow, when used in this Agreement and any |
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| December 23, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 23, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| November 14, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| October 7, 2022 |
Offer letter to Chad White dated September 8, 2022 Exhibit 10.1 September 8, 2022 Chad White 19468 W 52nd Drive Golden, CO 80403 Re: Offer of Employment Sonoma Pharmaceuticals, Inc. Dear Chad, Sonoma Pharmaceuticals, Inc. (hereinafter the ?Company?) is pleased to offer you the position of Chief Financial Officer. You will be appointed to the position by the Board of Directors and you will report directly to Amy Trombly, Chief Executive Officer. Th |
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| October 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 3, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| September 16, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 15, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo |
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| August 11, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| July 22, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant ?240. |
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| July 22, 2022 |
Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into by and between Amy Trombly (the ?Executive?), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), as of July 22, 2022 (the ?Effective Date?). This Agreement replaces that certain employment agreement dated as of July 1, 2021, and entered |
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| July 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 22, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| July 22, 2022 |
Exhibit 10.2 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into by and between Bruce Thornton (the ?Executive?), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), as of July 22, 2022 (the ?Effective Date?). This Agreement replaces that certain employment agreement dated as of July 1, 2021, and ente |
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| July 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA |
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| June 29, 2022 |
NT 10-K 1 sonomant10k-033122.htm FORM 12B-25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) [X] Form 10-K [] Form 20-F [] Form 11-K [ ] Form 10-Q [] Form N-SAR For Period Ended: March 31, 2022 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Report on Form |
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| February 11, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| January 20, 2022 |
Exhibit 10.2 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed.] EXCLUSIVE LICENSE AND DISTRIBUTION AGREEMENT This Exclusive License and Distribution Agreement is made and entered into as of January 18, 2022 (hereinafter the ?Effective Date?) by and between: Sonoma Pharmaceuticals, In |
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| January 20, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 18, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| January 20, 2022 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed.] Non-Exclusive Distribution and Supply Agreement This Non-Exclusive Distribution and Supply Agreement is entered into as of January 19, 2022 (the ?Effective Date?) by and between Sonoma Pharmaceuticals, Inc., a Delaware c |
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| January 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 14, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| January 13, 2022 |
Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 68-0423298 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 645 Molly Lane, Suite 150, Woodstock, |
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| January 6, 2022 |
Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA January 2022 Exhibit 99.1 Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA January 2022 1 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made wit |
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| January 6, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 6, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| November 15, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| November 9, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 4, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| November 9, 2021 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if disclosed.] EXCLUSIVE LICENSE AND DISTRIBUTION AGREEMENT This Exclusive License and Distribution Agreement is made and entered into as of November 9, 2021 (hereinafter the ?Effective Date?) by and between: Sonoma Pharmaceuticals, Inc., a com |
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| September 21, 2021 |
Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 15, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo |
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| September 3, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 3, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| September 3, 2021 |
Up to $3,000,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-250925 PROSPECTUS SUPPLEMENT (to Prospectus dated December 23, 2020) Up to $3,000,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an At The Market Offering Agreement which we refer to herein as the ATM Agreement, with H.C. Wainwright & Co., LLC, or Wainwright, as the Manager, relating to the sale of shares o |
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| August 30, 2021 |
YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY 645 Molly Lane, Suite 150 Woodstock, Georgia 30189 (800) 759-9305 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY August 30, 2021 Dear Stockholder: We are reaching out regarding the proxy materials we recently sent you in connection with the annual meeting of stockholders of Sonoma Pharmaceuticals, Inc. |
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| August 23, 2021 |
YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY 645 Molly Lane, Suite 150 Woodstock, Georgia 30189 (800) 759-9305 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY August 23, 2021 Dear Stockholder: We are reaching out regarding the proxy materials we recently sent you in connection with the annual meeting of stockholders of Sonoma Pharmaceuticals, Inc. |
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| August 16, 2021 |
YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY 645 Molly Lane, Suite 150 Woodstock, Georgia 30189 (800) 759-9305 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY August 16, 2021 Dear Stockholder: We are reaching out regarding the proxy materials we recently sent you in connection with the annual meeting of stockholders of Sonoma Pharmaceuticals, Inc. |
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| August 16, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC. |
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| August 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 27, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| July 30, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 30, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| July 30, 2021 |
Up to $6,000,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-250925 PROSPECTUS SUPPLEMENT (to Prospectus dated December 23, 2020) Up to $6,000,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an At The Market Offering Agreement which we refer to herein as the ATM Agreement, with H.C. Wainwright & Co., LLC, or Wainwright, as the Manager, relating to the sale of shares o |
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| July 30, 2021 |
Exhibit 10.1 AT THE MARKET OFFERING AGREEMENT July 30, 2021 H.C. Wainwright & Co., LLC 430 Park Avenue New York, New York 10022 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a corporation organized under the laws of Delaware (the ?Company?), confirms its agreement (this ?Agreement?) with H.C. Wainwright & Co., LLC (the ?Manager?) as follows: 1. Definitions. The terms that follow, when used i |
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| July 29, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [] Check appropriate box: [] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [] Definitive Additional Materials [] Soliciting Material Pursuant ?240. |
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| July 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 15, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| July 20, 2021 |
Exhibit 16.1 July 20, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Sonoma Pharmaceuticals, Inc. under Item 4.01 of its Form 8-K dated July 15, 2021. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Sonoma Pharmaceuticals, Inc |
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| July 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA |
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| July 9, 2021 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 5, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of |
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| July 9, 2021 |
Exhibit 16.1 July 9, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Sonoma Pharmaceuticals, Inc. under Item 4.01 of its Form 8-K dated July 5, 2021. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Sonoma Pharmaceuticals, Inc. |
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| July 6, 2021 |
Employment Agreement by and between the Company and Amy Trombly, dated July 1, 2021 EX-10.1 2 sonomaex1001.htm EMPLOYMENT AGREEMENT BY AND BETWEEN THE COMPANY AND AMY TROMBLY, DATED JULY 1, 2021 Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Amy Trombly (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of July 1, 2021 (the “Effective Date”). 1. Employment and Duties. 1 |
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| July 6, 2021 |
Employment Agreement by and between the Company and Bruce Thornton, dated July 1, 2021 EX-10.3 4 sonomaex1003.htm EMPLOYMENT AGREEMENT BY AND BETWEEN THE COMPANY AND BRUCE THORNTON, DATED JULY 1, 2021 Exhibit 10.3 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Bruce Thornton (the “Executive”), and Oculus Innovative Sciences, Inc., a Delaware corporation (the “Corporation”), as of July 1, 2021 (the “Effective Date”). This Agreement re |
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| July 6, 2021 |
Employment Agreement by and between the Company and Jerry Dvonch, dated July 1, 2021 Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into by and between Jerome Dvonch (the ?Executive?), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), as of July 1, 2021 (the ?Effective Date?). 1. Employment and Duties. 1.1 Position. On the terms and subject to the conditions set forth herein, the Corporation agrees to employ Ex |
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| July 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 1, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of |
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| June 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) [X] Form 10-K [] Form 20-F [] Form 11-K [ ] Form 10-Q [] Form N-SAR For Period Ended: March 31, 2021 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Report on Form 10-Q [] Transition Report on Form N-SAR For t |
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| March 31, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 26, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| March 31, 2021 |
EX-10.1 2 sonoma8k-ex1001.htm EXCLUSIVE SUPPLY AND DISTRIBUTION AGREEMENT BETWEEN THE COMPANY AND EMC PHARMA, LLC, DATED MARCH 26, 2021 Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if disclosed.] EXCLUSIVE DISTRIBUTION AND SUPPLY AGREEMENT This Exclusive Distribution and Supply Agreement |
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| March 4, 2021 |
Exhibit 99.1 Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA March 2021 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made within |
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| March 4, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 4, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| February 16, 2021 |
Quarterly Report - QUARTERLY REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216 |
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| January 11, 2021 |
Exhibit 99.1 Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA January 2021 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made withi |
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| January 11, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 11, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| January 8, 2021 |
Addendum to Employment Agreement with Amy Trombly, dated January 4, 2021 Exhibit 10.1 Addendum to the Employment Agreement This Addendum (the “Addendum”) by and between Sonoma Pharmaceuticals, Inc. and Amy Trombly is effective December 31, 2020 (the “Effective Date”), and amends the employment agreement dated December 26, 2019 (the “Employment Agreement”) between the same parties. All capitalized terms shall have the same meaning as in the Employment Agreement or this |
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| January 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 4, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| December 23, 2020 |
PROSPECTUS SONOMA PHARMACEUTICALS, INC. Common Stock Preferred Stock Debt Securities Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-250925 PROSPECTUS $63,425,000 SONOMA PHARMACEUTICALS, INC. Common Stock Preferred Stock Debt Securities Warrants Units We may, from time to time, offer and sell common stock, preferred stock, debt securities or warrants, either separately or in units, in one or more offerings. The preferred stock and warrants may be convertibl |
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| December 18, 2020 |
December 18, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| December 17, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 14, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| December 17, 2020 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed.] Non-Exclusive Distribution and Supply Agreement This Non-Exclusive Distribution and Supply Agreement is entered into as of December 14, 2020 (the “Effective Date”) by and between Sonoma Pharmaceuticals, Inc., a Delaware |
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| December 15, 2020 |
1314 Main Street, Suite 102 Louisville, CO 80027 Phone: 617-243-0060 Fax: 617-243-0066 December 15, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| December 15, 2020 |
Table of Contents As filed with the Securities and Exchange Commission on December 15, 2020 Registration No. |
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| December 10, 2020 |
Financial Statements and Exhibits, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 4, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| December 10, 2020 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed.] EXCLUSIVE DISTRIBUTION AND SUPPLY AGREEMENT This Exclusive Distribution and Supply Agreement is entered into as of December 4, 2020 (the ?Effective Date?) by and between Sonoma Pharmaceuticals, Inc., a Delaware corporati |
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| November 24, 2020 |
Form of Indenture, by and between the Company and one or more trustees to be named Exhibit 4.3 SONOMA PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [•], 20 Debt Securities INDENTURE Indenture, dated as of [•], 20, among SONOMA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and [Trustee], as trustee (the “Trustee”): Whereas, for its lawful corporate purposes, the Company has duly authorized the execution and delivery of this Indenture |
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| November 24, 2020 |
Table of Contents As filed with the Securities and Exchange Commission on November 24, 2020 Registration No. |
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| November 20, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216 |
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| November 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 12, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| November 17, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File N |
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| November 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) [] Form 10-K [] Form 20-F [] Form 11-K [X] Form 10-Q [] Form N-SAR For Period Ended: September 30, 2020 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Report on Form 10-Q [] Transition Report on Form N-SAR Fo |
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| September 18, 2020 |
Submission of Matters to a Vote of Security Holders - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 18, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo |
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| September 11, 2020 |
Exhibit 10.2 Consulting Services Agreement Amendment No. 1 The below designated Client (“Client”) acknowledges and agrees that the services performed by TechCXO, LLC are governed by the Terms and Conditions (FY 2019) attached hereto and incorporated as part of this Amendment No. 1 to the Consulting Services Agreement (“Agreement”). The terms of the accompanying Consulting Services Proposal are her |
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| September 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 8, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| September 11, 2020 |
Offer letter J. Dvonch dated August 10, 2020 Exhibit 10.1 August 10, 2020 Jerome Dvonch Re: Offer of Employment Sonoma Pharmaceuticals, Inc. Dear Jerry, Sonoma Pharmaceuticals, Inc. (hereinafter the “Company”) is pleased to offer you the position of Chief Financial Officer reporting directly to Amy Trombly, Chief Executive Officer. The purpose of this letter is to outline the terms of our employment agreement. Your signature in the space pro |
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| August 14, 2020 |
Quarterly Report - QUARTERLY REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216 SONO |
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| August 6, 2020 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed] LICENSING AGREEMENT This LICENSING AGREEMENT (the “Agreement”) is entered into by and between SONOMA PHARMACEUTICALS, inc., a corporation incorporated under the laws of Delaware hereinafter referred to as “Licensor” and M |
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| August 6, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 31, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| July 29, 2020 |
Sonoma Pharmaceuticals, Inc. 2020 Equity Incentive Plan Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [] Check appropriate box: [] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [] Definitive Additional Materials [] Soliciting Material Pursuant §240. |
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| July 10, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2020 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA |
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| July 10, 2020 |
Exhibit 10.41 LEASE AGREEMENT STATE OF GEORGIA COUNTY OF CHEROKEE This Lease Agreement, made and entered into by and between Fowler Crossing Partners, LP, hereinafter referred to as "Landlord", and Sonoma Pharmaceuticals, Inc. hereinafter referred to as "Tenant"; W I T N E S S E T H: 1. Premises and Term. In consideration of the obligation of Tenant to pay rent as herein provided, and in considera |
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| July 10, 2020 |
Exhibit 10.40 NINTH AMENDMENT TO LEASE THIS NINTH AMENDMENT TO LEASE AGREEMENT (this “Amendment”) dated as of June 20, 2020 is entered into between SSCOP DE LLC, a Delaware limited liability company (“Landlord”) and SONOMA PHARMACEUTICALS, INC., a Delaware corporation (“Tenant”). THE PARTIES ENTER INTO THIS AMENDMENT based upon the following facts, understandings and intentions: A. Landlord (succe |
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| June 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 24, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| June 30, 2020 |
Asset Purchase Agreement between the Company and Infinity Labs SD, Inc., dated June 24, 2020 Exhibit 10.1 PURCHASE AND SALE AGREEMENT BY AND AMONG SONOMA PHARMACEUTICALS, INC., as the SELLER INFINITY LABS SD INC., as the BUYER, Dated: June 24, 2020 Table of Contents ARTICLE 1 4 ARTICLE 2 12 2.1 Transfer of Purchased Assets. 12 2.2 Excluded Assets. 13 2.3 Assumption of Liabilities. 14 2.4 Excluded Liabilities. 14 2.5 Consent of Third Parties. 15 2.6 Consideration. 15 2.7 Closing. 15 2.8 Al |
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| June 29, 2020 |
FORM 12B-25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) [X] Form 10-K [] Form 20-F [] Form 11-K [] Form 10-Q [] Form N-SAR For Period Ended: March 31, 2020 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Report on Form 10-Q [] Transition Report on Form |
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| June 4, 2020 |
Consulting Agreement between the Company and Dr. Robert Northey, dated May 30, 2020. Exhibit 10.2 CONSULTING AGREEMENT THIS AGREEMENT (the "Agreement") made and entered into this May 30, 2020, (hereinafter “Effective Date”) by and between SONOMA PHARMACEUTICALS; INC., with a place of business located at 1129 N. McDowell Blvd., Petaluma CA 94954 (hereinafter "SONOMA"), a Delaware Corporation and Dr. Robert Northey, with a place of business located at [] (hereinafter "Consultant"). |
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| June 4, 2020 |
Separation and Release Agreement between the Company and Dr. Robert Northey, dated May 29, 2020 Exhibit 10.1 Separation and Release of Claims Agreement This Separation and Release of Claims Agreement ("Agreement") is entered into by and between Sonoma Pharmaceuticals, Inc., a Delaware corporation, its successors, assigns, employees, directors, and agents (the "Company") and Dr. Robert Northey (the "Employee"), (the Company and the Employee are collectively referred to as the "Parties") as of |
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| June 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 29, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of |
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| May 26, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 19, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of |
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| May 26, 2020 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed] LICENSING, DISTRIBUTION and SUPPLY AGREEMENT between BRILL INTERNATIONAL S.L. and SONOMA PHARMACEUTICALS, INC. THIS AGREEMENT is made this 19th day of May, 2020 (the "Effective Date") BETWEEN BRILL INTERNATIONAL S.L. a co |
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| May 4, 2020 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 29, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| April 20, 2020 |
Exhibit 10.2 Separation and Release of Claims Agreement This Separation and Release of Claims Agreement ("Agreement") is entered into by and between Sonoma Pharmaceuticals, Inc., a Delaware corporation, its successors, assigns, employees, directors, and agents (the "Company") and John Dal Poggetto (the "Employee"), (the Company and the Employee are collectively referred to as the "Parties") as of |
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| April 20, 2020 |
Consulting Agreement between the Company and TechCXO, LLC effective April 14, 2020 Exhibit 10.1 TechCXO Accelerate the Vision. Consulting Services Proposal For Sonoma Pharmaceuticals Objectives Sonoma Pharmaceuticals seeks an experienced CFO to support the company’s rapid growth. TechCXO can provide flexible assistance throughout this process. I can act as your CFO and as a member of your management team. Below are several areas where I can provide financial leadership: 1. Asses |
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| April 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 14, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| February 27, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 21, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| February 27, 2020 |
Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed] ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT (the “Agreement”) is entered into by and between SONOMA PHARMACEUTICALS, inc., a Corporation under the laws of Delaware hereinafter referred to as “Seller” and MicroS |
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| February 14, 2020 |
OCLS / Oculus Innovative Sciences, Inc. 10-Q - Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216 |
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| December 31, 2019 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Amy Trombly (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of December 26, 2019 (the “Effective Date”). 1. Employment and Duties. 1.1 Position. On the terms and subject to the conditions set forth herein, the Corporation agrees to employ |
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| December 31, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 26, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| December 26, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. S-8 - - FORM S-8 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 68-0423298 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 1129 N. McDowell Blvd., Petaluma, CA |
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| November 29, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 26, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| November 29, 2019 |
Exhibit 4.1 THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLOWING NOVEMBER 26, 2019 (THE “E |
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| November 29, 2019 |
Exhibit 10.1 PLACEMENT AGENCY AGREEMENT Dawson James Securities, Inc. 1 North Federal Highway Boca Raton, Florida 33432 November 26, 2019 Ladies and Gentlemen: This letter (this “Agreement”) constitutes the agreement between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agent ( |
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| November 27, 2019 |
448,949 shares of common stock SONOMA PHARMACEUTICALS, INC. COMMON STOCK Filed Pursuant to Rule 424(b)(3) Registration No. 333-221477 PROSPECTUS SUPPLEMENT (to Prospectus dated November 28, 2017) 448,949 shares of common stock SONOMA PHARMACEUTICALS, INC. COMMON STOCK We are offering 448,949 shares of common stock, par value $0.0001 per share, or the Shares, at a public offering price of $3.50 per Share. Our common stock is quoted on The Nasdaq Capital Market under the |
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| November 26, 2019 |
SUBJECT TO COMPLETION, THE DATE OF THIS PROSPECTUS SUPPLEMENT IS NOVEMBER 25, 2019. The information in this prospectus supplement is not complete and may be changed. This prospectus supplement is not an offer to sell these securities, and we are not soliciting offers to buy these securities, in any state where the offer or sale is not permitted. SUBJECT TO COMPLETION, THE DATE OF THIS PROSPECTUS SUPPLEMENT IS NOVEMBER 25, 2019. Filed Pursuant to Rule 424(b)(3) Registration No. 33 |
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| November 14, 2019 |
Quarterly Report on Form 10-Q for the quarter ended September 30, 2019 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216 |
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| November 6, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 5, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe |
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| October 18, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant §240. |
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| October 15, 2019 |
Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between John Dal Poggetto (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of September 25, 2019 (the “Effective Date”). This Agreement replaces that certain employment agreement dated as of August 15, 2013, as amended from time to time, and enter |
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| October 15, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 8, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| October 15, 2019 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Amy Trombly (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of September 25, 2019 (the “Effective Date”). 1. Employment and Duties. 1.1 Position. On the terms and subject to the conditions set forth herein, the Corporation agrees to emplo |
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| October 9, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. DEFA14A - - ADDITIONAL PROXY MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant §240. |
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| October 3, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. DEFA14A - - ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant §240. |
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| October 1, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 25, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo |
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| September 18, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. DEFA14A - - DEFINITIVE ADDITIONAL PROXY MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant §240. |
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| August 13, 2019 |
Quarterly Report on Form 10-Q for the quarter ended June 30, 2019 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216 SONO |
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| July 29, 2019 |
Definitive Proxy Statement on Schedule 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [] Check appropriate box: [] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [] Definitive Additional Materials [] Soliciting Material Pursuant §240. |
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| July 1, 2019 |
Annual Report on Form 10-K for the year ended March 31, 2019 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2019 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA |
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| June 19, 2019 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED OF SONOMA PHARMACEUTICALS, INC. Sonoma Pharmaceuticals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”) does hereby certify that: FIRST: That at a meeting of the Board of Directors of the Corporation resolutions wer |
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| June 19, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 19, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| June 12, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 11, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o |
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| May 31, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. DEFA14A - - DEFINITIVE ADDITIONAL PROXY MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant §240. |
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| May 31, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 30, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of |
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| May 22, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 20, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of |
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| May 22, 2019 |
Asset Purchase Agreement dated May 14, 2019, between Sonoma Pharmaceuticals, Inc. and Petagon, Ltd. Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed] ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT (the “Agreement”) is entered into by and between SONOMA PHARMACEUTICALS, inc., (previously known as Oculus Innovative sciEnces, INC.) a Corporation under the laws of |
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| April 22, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. DEFINITIVE PROXY UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant §240. |
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| April 12, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. PRE 14A PRE 14A 1 sonomapre14a.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| February 14, 2019 |
SNOA / Sonoma Pharmaceuticals, Inc. QUARTERLY REPORT (Quarterly Report) 10-Q 1 sonoma10q-123118.htm QUARTERLY REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition per |
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| January 8, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 4, 2019 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer |
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| December 19, 2018 |
SNOA / Sonoma Pharmaceuticals, Inc. FORM S-8 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 68-0423298 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 1129 N. McDowell Blvd., Petaluma, CA |
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| December 14, 2018 |
Exhibit 10.2 SEPARATION AGREEMENT AND MUTUAL RELEASE The Separation Agreement and Mutual Release (the "Agreement") is entered into on this 13th day of December, 2018, by and between Sonoma Pharmaceuticals, Inc. (the "Company") and Robert E. Miller ("Employee"), collectively called the “Parties.” Employee and the Company herein agree to mutually release each other from any and all claims arising fr |
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| December 14, 2018 |
EX-10.3 4 sonoma8k-ex1003.htm EMPLOYMENT AGREEMENT - FREDERICK SANDFORD Exhibit 10.3 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Frederick Sandford (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of December 11, 2018 (the “Effective Date”). 1. Employment and Duties. 1.1 Position. On the terms a |
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| December 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 11, 2018 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
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| December 14, 2018 |
EX-10.1 2 sonoma8k-ex1001.htm SEPARATION AND MUTUAL RELEASE - JIM SCHUTZ Exhibit 10.1 SEPARATION AGREEMENT AND MUTUAL RELEASE The Separation Agreement and Mutual Release (the "Agreement") is entered into on this 13th day of December, 2018, by and between Sonoma Pharmaceuticals, Inc. (the "Company") and Jim Schutz ("Employee"), collectively called the “Parties.” Employee and the Company herein agre |
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| December 14, 2018 |
Resignation letter by Jim Schutz, dated December 12, 2018. EX-17.1 5 sonoma8k-ex1701.htm RESIGNATION LETTER Exhibit 17.1 Jerry McLaughlin December 12, 2018 Lead Independent Director Sonoma Pharmaceuticals, Inc. 1129 North McDowell Boulevard Petaluma, CA 94954 Re: Resignation from the Board of Directors of Sonoma Pharmaceuticals, Inc. Jerry, Please accept this letter as my resignation from the Board of Directors of both Sonoma Pharmaceuticals, Inc. and its |
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| November 28, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 27, 2018 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ |
