Sec Form 3 Filing - Dal Poggetto John @ Sonoma Pharmaceuticals, Inc. - 2019-09-27

FORM 3 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Dal Poggetto John 2. Issuer Name and Ticker or Trading Symbol Sonoma Pharmaceuticals, Inc. [ SNOA] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) Chief Financial Officer (Last) (First) (Middle) 1129 N. MCDOWELL BLVD 3. Date of Earliest Transaction (MM/DD/YY) 09/27/2019 (Street) PETALUMA, CA94954 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock, $0.0001 par value per share 115 D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Stock Option (right to buy) $ 576.45 02/25/2010 02/25/2020 Common Stock 223 D Stock Option (right to buy) $ 595.35 05/17/2011 05/17/2021 Common Stock 286 D Stock Option (right to buy) $ 292.95 08/24/2015 08/24/2022 Common Stock 96 D Stock Option (right to buy) $ 133.65 09/19/2016 09/19/2023 Common Stock 238 D Stock Option (right to buy) $ 175.5 03/04/2017 03/04/2024 Common Stock 1,648 D Stock Option (right to buy) $ 52.2 08/21/2015 08/21/2025 Common Stock 1,251 D Stock Option (right to buy) $ 52.2 ( 1 ) 08/21/2025 Common Stock 420 D Stock Option (right to buy) $ 61.92 ( 2 ) 04/11/2027 Common Stock 1,334 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Dal Poggetto John 1129 N. MCDOWELL BLVD PETALUMA, CA94954 Chief Financial Officer Signatures /s/ John Dal Poggetto 10/15/2019 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Options vest upon the achievement of certain goals. ( 2 )Options vest in three equal tranches annually on the grant date anniversary, beginning on April 11, 2018 and becoming fully vested on April 11, 2020.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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