BERGHEIM OLAV 4

Accession 0001562180-23-005390

CIK 0001407973other

View on SEC.gov Company Profile

Filed

Jun 19, 8:00 PM ET

Accepted

Jun 20, 9:02 PM ET

Size

14.6 KB

Accession

0001562180-23-005390

Insider Transaction Report

Form 4

Period: 2023-06-16

Sonendo, Inc.SONX

BERGHEIM OLAV

Director10% Owner

Transactions

Award
Stock Option (Right to Buy)
2023-06-16+32,520→ 32,520 total
Exercise: $1.08Exp: 2033-06-15→ Common Stock (32,520 underlying)
Award
Common Stock
2023-06-16+25,316→ 150,408 total

Holdings

Common Stock
(indirect: By LLC)
131,302
Common Stock
(indirect: Held by Fjord Capital Partners I, L.P.)
691,628
Common Stock
(indirect: By IRA)
24,906
Common Stock
(indirect: By LLC)
1,090,752
Common Stock
(indirect: Held by Fjordinvest (Cayman) Ltd.)
393,474
Common Stock
(indirect: By LLC)
66,464
Common Stock
(indirect: Held by Fjordinvest (Cayman) II Ltd.)
286,673

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 2024 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 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Documents

1 file

4
primarydocument.xmlPrimary
PRIMARY DOCUMENT

Issuer

Sonendo, Inc.

CIK 0001407973

→

Entity typeother

Related Parties

filerCIK 0001207793

Filing Metadata

Form type: 4
Filed: Jun 19, 8:00 PM ET
Accepted: Jun 20, 9:02 PM ET
Size: 14.6 KB

View on SEC.gov