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4//SEC Filing

BERGHEIM OLAV 4

Accession 0001562180-22-005424

CIK 0001407973other
View on SEC.govCompany Profile

Filed

Jun 30, 8:00 PM ET

Accepted

Jul 1, 8:46 AM ET

Size

14.7 KB

Accession

0001562180-22-005424

Insider Transaction Report

Form 4
Period: 2022-06-29
Sonendo, Inc.SONX
BERGHEIM OLAV
Director10% Owner
Transactions
  • Award

    Common Stock

    2022-06-29+34,682→ 125,092 total
  • Award

    Stock Options (Right to buy)

    2022-06-29+49,586→ 49,586 total
    Exercise: $1.73Exp: 2032-06-28→ Common Stock (49,586 underlying)
Holdings

  • Common Stock

    (indirect: By LLC)
    1,090,752

  • Common Stock

    (indirect: Held by Fjord Capital Partners I, L.P.)
    691,628

  • Common Stock

    (indirect: Held by Fjordinvest (Cayman) II Ltd.)
    286,673

  • Common Stock

    (indirect: By IRA)
    24,906

  • Common Stock

    (indirect: By LLC)
    131,302

  • Common Stock

    (indirect: Held by Fjordinvest (Cayman) Ltd.)
    393,473

  • Common Stock

    (indirect: By LLC)
    66,464
Footnotes (8)
  • [F1]Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.
  • [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 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.
  • [F6]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.
  • [F7]Held by PENSCO Trust Company, Custodian, FBO Olav Bergheim.
  • [F8]The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Documents

1 file

Issuer

Sonendo, Inc.

CIK 0001407973

→
Entity typeother

Related Parties

1
  • filerCIK 0001207793

Filing Metadata

Form type
4
Filed
Jun 30, 8:00 PM ET
Accepted
Jul 1, 8:46 AM ET
Size
14.7 KB
View on SEC.gov