Sonoma Pharmaceuticals, Inc. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Schutz James J | Chief Executive Officer | Purchase | 104 | $6.75 | $702 | 11,840 | Mar 3, 2017 |
| MCLAUGHLIN JOHN | — | Award / Grant | 2,250 | — | — | 10,249 | Mar 1, 2017 |
| Harrison Russell Joseph | — | Award / Grant | 2,250 | — | — | 9,167 | Mar 1, 2017 |
| Birnbaum Jay E | — | Award / Grant | 577 | — | — | 8,549 | Feb 28, 2017 |
| BARBARI SHARON SURREY | — | Award / Grant | 710 | — | — | 9,204 | Feb 28, 2017 |
| Schutz James J | Chief Executive Officer | Purchase | 1,000 | $4.88 | $4,880 | 11,040 | Dec 8, 2016 |
| Miller Robert E | Chief Financial Officer | Purchase | 5,000 | $4.86 | $24,300 | 6,714 | Dec 8, 2016 |
| Schutz James J | Chief Executive Officer | Award / Grant | 3,535 | $4.81 | $17,003 | 10,040 | Nov 30, 2016 |
| Northey Robert Allen | Exec. VP of Res & Devlpment | Award / Grant | 4,678 | $4.81 | $22,501 | 4,678 | Nov 30, 2016 |
| Miller Robert E | Chief Financial Officer | Award / Grant | 15,593 | — | — | 15,964 | Nov 30, 2016 |
| MCLAUGHLIN JOHN | — | Award / Grant | 1,423 | — | — | 7,999 | Nov 29, 2016 |
| Harrison Russell Joseph | — | Award / Grant | 1,229 | — | — | 6,917 | Nov 29, 2016 |
| Birnbaum Jay E | — | Award / Grant | 841 | — | — | 5,722 | Nov 29, 2016 |
| BARBARI SHARON SURREY | — | Award / Grant | 1,035 | — | — | 6,244 | Nov 29, 2016 |
| MCLAUGHLIN JOHN | — | Award / Grant | 1,648 | — | — | 6,576 | Aug 29, 2016 |
| Harrison Russell Joseph | — | Award / Grant | 1,423 | — | — | 5,688 | Aug 29, 2016 |
| Birnbaum Jay E | — | Award / Grant | 974 | — | — | 4,881 | Aug 29, 2016 |
| BARBARI SHARON SURREY | — | Award / Grant | 1,199 | — | — | 5,209 | Aug 29, 2016 |
| Schutz James J | Chief Executive Officer | Purchase | 1,328 | $3.66 | $4,860 | 6,505 | Aug 15, 2016 |
| MCLAUGHLIN JOHN | — | Award / Grant | 6,765 | — | — | 24,643 | May 31, 2016 |
| Harrison Russell Joseph | — | Award / Grant | 5,090 | — | — | 21,327 | May 31, 2016 |
| Birnbaum Jay E | — | Award / Grant | 4,188 | — | — | 19,541 | May 31, 2016 |
| BARBARI SHARON SURREY | — | Award / Grant | 4,445 | — | — | 20,051 | May 31, 2016 |
| MCLAUGHLIN JOHN | — | Award / Grant | 6,628 | — | — | 6,628 | Feb 29, 2016 |
| Harrison Russell Joseph | — | Award / Grant | 4,987 | — | — | 4,987 | Feb 29, 2016 |
| Birnbaum Jay E | — | Award / Grant | 11,250 | — | — | 15,353 | Feb 29, 2016 |
| BARBARI SHARON SURREY | — | Award / Grant | 4,356 | — | — | 4,356 | Feb 29, 2016 |
| Schutz James J | Chief Executive Officer | Purchase | 5,000 | $1.00 | $5,000 | 25,885 | Feb 25, 2016 |
| Schutz James J | Chief Executive Officer | Purchase | 6,285 | $1.78 | $11,187 | 20,885 | Nov 17, 2014 |
| Schutz James J | Chief Executive Officer | Purchase | 5,100 | $2.35 | $11,985 | 14,600 | Aug 16, 2013 |
| Alimi Hojabr | Chief Executive Officer | Purchase | 2,500 | $0.64 | $1,600 | 1,031,050 | Dec 10, 2012 |
| Alimi Hojabr | Chief Executive Officer | Purchase | 2,200 | $0.65 | $1,430 | 1,030,950 | Dec 7, 2012 |
| Alimi Hojabr | Chief Executive Officer | Purchase | 1,000 | $0.63 | $630 | 1,012,250 | Dec 6, 2012 |
| Schutz James J | Chief Operating Officer | Purchase | 11,400 | $0.80 | $9,120 | 65,000 | Nov 9, 2012 |
| Schutz James J | Chief Operating Officer | Purchase | 11,680 | $1.91 | $22,309 | 53,500 | Aug 9, 2010 |
| French Gregory M | Chief Operating Officer | Purchase | 3,020 | $1.99 | $6,010 | 52,760 | Jun 10, 2010 |
| French Gregory M | Chief Operating Officer | Purchase | 3,076 | $2.02 | $6,214 | 49,740 | Jun 7, 2010 |
| Alimi Hojabr | Chief Executive Officer | Option Exercise | 15,000 | $1.10 | $16,500 | 1,026,250 | Mar 10, 2010 |
| Conley Richard K | — | Option Exercise | 15,000 | $0.85 | $12,750 | 122,650 | Mar 9, 2010 |
| Schutz James J | Chief Operating Officer | Purchase | 3,490 | $1.77 | $6,177 | 33,110 | Dec 9, 2009 |
| Miller Robert E | Chief Financial Officer | Purchase | 1,800 | $1.70 | $3,060 | 69,000 | Nov 10, 2009 |
| Conley Richard K | — | Sale | 4,200 | $2.75 | $11,550 | 107,650 | Sep 10, 2009 |
| Conley Richard K | — | Award / Grant | 15,000 | $0.85 | $12,750 | 57,650 | Sep 3, 2009 |
| Schutz James J | Vice President | Purchase | 700 | $2.02 | $1,414 | 11,200 | Aug 12, 2009 |
| Alimi Hojabr | Chief Executive Officer | Option Exercise | 300,000 | $0.15 | $45,000 | 1,311,250 | Aug 10, 2009 |
| Burlingame Robert | — | O | 435,897 | — | — | 1,294,931 | Jun 16, 2009 |
| Burlingame Robert | — | Purchase | 569,801 | $1.17 | $666,667 | 859,034 | Jun 1, 2009 |
| Alimi Hojabr | Chief Executive Officer | Sale | 13,200 | $1.05 | $13,860 | 1,011,250 | Mar 6, 2009 |
| Burlingame Robert | — | Purchase | 218,234 | $1.17 | $255,334 | 289,233 | Mar 4, 2009 |
| Alimi Hojabr | Chief Executive Officer | Sale | 7,800 | $1.14 | $8,892 | 1,024,450 | Mar 3, 2009 |