Sonoma Pharma Confirms Nasdaq Listing for SNOA Common Stock

Ticker: SNOA · Form: 8-K · Filed: Jan 10, 2024 · CIK: 1367083

Complexity: simple

Sentiment: neutral

Topics: regulatory-filing, corporate-governance, exchange-listing

TL;DR

**SNOA confirms Nasdaq listing, business as usual.**

AI Summary

Sonoma Pharmaceuticals, Inc. filed an 8-K on January 10, 2024, to disclose that its Common Stock, trading under the symbol SNOA, is registered on The Nasdaq Stock Market LLC. This filing primarily serves to confirm its listing status and compliance with SEC reporting requirements. For investors, this matters because continued listing on Nasdaq provides liquidity and visibility, which are crucial for the stock's trading and perceived stability.

Why It Matters

This filing confirms Sonoma Pharmaceuticals' continued listing on Nasdaq, which is important for maintaining investor confidence and ensuring the stock remains easily tradable.

Risk Assessment

Risk Level: low — This filing is a routine disclosure confirming existing information and does not introduce new risks or significant changes.

Analyst Insight

This filing is a routine compliance update and does not warrant immediate action. Investors should continue to monitor Sonoma Pharmaceuticals for operational performance and other material news.

Key Players & Entities

Forward-Looking Statements

FAQ

What is the purpose of this 8-K filing by Sonoma Pharmaceuticals, Inc.?

The purpose of this 8-K filing, dated January 10, 2024, is to report a current event, specifically under Regulation FD Disclosure and Financial Statements and Exhibits, confirming that Sonoma Pharmaceuticals, Inc.'s Common Stock is registered on The Nasdaq Stock Market LLC under the trading symbol SNOA.

On which stock exchange is Sonoma Pharmaceuticals, Inc.'s Common Stock registered?

Sonoma Pharmaceuticals, Inc.'s Common Stock is registered on The Nasdaq Stock Market LLC, as stated in the filing under 'Securities registered pursuant to Section 12(b) of the Act'.

What is the trading symbol for Sonoma Pharmaceuticals, Inc.'s Common Stock?

The trading symbol for Sonoma Pharmaceuticals, Inc.'s Common Stock is SNOA, as indicated in the 'Title of each class' and 'Trading symbol(s)' section of the filing.

When was the earliest event reported in this 8-K filing?

The earliest event reported in this 8-K filing occurred on January 10, 2024, as specified by 'Date of Report (Date of earliest event reported) January 10, 2024'.

What is Sonoma Pharmaceuticals, Inc.'s Central Index Key (CIK) and SEC File Number?

Sonoma Pharmaceuticals, Inc.'s Central Index Key (CIK) is 0001367083 and its SEC File Number is 001-33216, according to the 'FILER: COMPANY DATA' section of the filing.

Filing Stats: 748 words · 3 min read · ~2 pages · Grade level 13.7 · Accepted 2024-01-10 07:30:13

Filing Documents

01 Regulation FD Disclosure

Item 7.01 Regulation FD Disclosure. Attached is the updated investor presentation of Sonoma Pharmaceuticals, Inc. and its affiliates (the "Company"). The presentation materials are furnished hereto as Exhibit 99.1. Except for historical information herein, matters set forth in this report are forward-looking within the meaning of the "safe harbor" provisions of the Private Securities Litigation Reform Act of 1995, including statements about the commercial and technology progress and future financial performance of the Company. These forward-looking statements are identified by the use of words such as "will," "develop," "project," "expect," and "expand," among others. Forward-looking statements in this report are subject to certain risks and uncertainties inherent in the Company's business that could cause actual results to vary, including such risks that regulatory clinical and guideline developments may change, scientific data may not be sufficient to meet regulatory standards or receipt of required regulatory clearances or approvals, clinical results may not be replicated in actual patient settings, protection offered by the Company's patents and patent applications may be challenged, invalidated or circumvented by its competitors, the available market for the Company's products will not be as large as expected, the Company's products will not be able to penetrate one or more targeted markets, revenues will not be sufficient to meet the Company's cash needs, fund further development, as well as uncertainties relative to the recent pandemic and economic development, varying product formulations and a multitude of diverse regulatory and marketing requirements in different countries and municipalities, and other risks detailed from time to time in the Company's filings with the Securities and Exchange Commission. The Company disclaims any obligation to update these forward-looking statements, except as required by law.

Financial Statements and Exhibits

Financial Statements and Exhibits. Exhibit Number Description 99.1 Investor Presentation as of January 10, 2024. 104 Cover Page Interactive Data File (formatted in Inline XBRL in Exhibit 101). The information filed as Exhibit 99.1 to this Current Report on Form 8-K is being furnished in accordance with Item 7.01 and shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities imposed by that Section. Such information shall not be incorporated by reference into any registration statement or other document or filing under the Securities Act of 1933, as amended, except as may be expressly set forth in a specific filing. 2

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. SONOMA PHARMACEUTICALS, INC. Date: January 10, 2024 By: /s/ Amy Trombly Name: Title: Amy Trombly Chief Executive Officer 3

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