4//SEC Filing
BERGHEIM OLAV 4
Accession 0000899243-21-042410
CIK 0001407973other
Filed
Nov 1, 8:00 PM ET
Accepted
Nov 2, 5:22 PM ET
Size
44.9 KB
Accession
0000899243-21-042410
Insider Transaction Report
Form 4
Sonendo, Inc.SONX
BERGHEIM OLAV
Director10% Owner
Transactions
- Conversion
Series C Preferred Stock
2021-11-02−99,626→ 0 total(indirect: Held by Fjord Capital Partners I, L.P.)→ Common Stock (99,626 underlying) - Conversion
Common Stock
2021-11-02+1,090,752→ 1,090,752 total(indirect: By LLC) - Conversion
Common Stock
2021-11-02+21,713→ 131,302 total(indirect: By LLC) - Conversion
Series B Preferred Stock
2021-11-02−159,170→ 0 total(indirect: By LLC)→ Common Stock (159,170 underlying) - Conversion
Series D Preferred Stock
2021-11-02−286,673→ 0 total(indirect: Held by Fjordinvest (Cayman) II Ltd.)→ Common Stock (286,673 underlying) - Conversion
Common Stock
2021-11-02+393,473→ 393,473 total(indirect: Held by Fjordinvest (Cayman) Ltd.) - Conversion
Series A-1 Preferred Stock
2021-11-02−592,372→ 0 total(indirect: By LLC)→ Common Stock (592,372 underlying) - Conversion
Series C Preferred Stock
2021-11-02−99,626→ 0 total(indirect: By LLC)→ Common Stock (99,626 underlying) - Conversion
Series B Preferred Stock
2021-11-02−52,766→ 0 total(indirect: By LLC)→ Common Stock (52,766 underlying) - Conversion
Series B Preferred Stock
2021-11-02−592,002→ 0 total(indirect: Held by Fjord Capital Partners I, L.P.)→ Common Stock (592,002 underlying) - Purchase
Common Stock
2021-11-02$12.00/sh+33,500$402,000→ 164,802 total(indirect: By LLC) - Conversion
Common Stock
2021-11-02+286,673→ 286,673 total(indirect: Held by Fjordinvest (Cayman) II Ltd.) - Conversion
Series D Preferred Stock
2021-11-02−393,473→ 0 total(indirect: Held by Fjordinvest (Cayman) Ltd.)→ Common Stock (393,473 underlying) - Conversion
Series E Preferred Stock
2021-11-02−24,906→ 0 total(indirect: By IRA)→ Common Stock (24,906 underlying) - Conversion
Common Stock
2021-11-02+52,766→ 66,464 total(indirect: By LLC) - Conversion
Common Stock
2021-11-02+691,628→ 691,628 total(indirect: Held by Fjord Capital Partners I, L.P.) - Conversion
Common Stock
2021-11-02+24,906→ 24,906 total(indirect: By IRA) - Conversion
Series C-1 Preferred Stock
2021-11-02−239,584→ 0 total(indirect: By LLC)→ Common Stock (239,584 underlying) - Conversion
Series B Preferred Stock
2021-11-02−21,713→ 0 total(indirect: By LLC)→ Common Stock (21,713 underlying)
Footnotes (8)
- [F1]Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis.
- [F2]Mr. Bergheim is the president of Micro LLC, the managing member of Fjordinvest LLC, and is the manager of Fjordinvest LLC. Mr. Bergheim exercises voting and dispositive power over the shares held by Fjordinvest LLC. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F3]Mr. Bergheim is the chief executive officer of Fjordinvest (Cayman) Ltd. and exercises voting and dispositive power over the shares held by Fjordinvest (Cayman) Ltd. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F4]Mr. Bergheim is the president of Fjord Ventures LLC and exercises voting and dispositive power over the shares held by Fjord Ventures LLC. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares
- [F5]Mr. Bergheim is the president of Micro LLC, the managing member of Fjordinvest LLC, and is the manager of Fjordinvest LLC. Mr. Bergheim exercises voting and dispositive power over the shares held by Fjordinvest LLC. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F6]Mr. Bergheim is the manager of Fjord Venture Partners I, LLC, the general partner of Fjord Capital Partners I, LP, and exercises voting and dispositive power over the shares held Fjord Capital Partners I, LP. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F7]Mr. Bergheim is the chief executive officer of Fjordinvest (Cayman) II Ltd. and exercises voting and dispositive power over the shares held by Fjordinvest (Cayman) II Ltd. Mr. Bergheim disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in such shares.
- [F8]Held by PENSCO Trust Company, Custodian, FBO Olav Bergheim.
Documents
Issuer
Sonendo, Inc.
CIK 0001407973
Entity typeother
Related Parties
1- filerCIK 0001207793
Filing Metadata
- Form type
- 4
- Filed
- Nov 1, 8:00 PM ET
- Accepted
- Nov 2, 5:22 PM ET
- Size
- 44.9 KB