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Filing Details

Accession Number:: 0000899243-21-042410
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-02 17:22:42
Reporting Period:: 2021-11-02

Accepted Time:: 2021-11-02 17:22:42
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1407973	Sonendo Inc.	SONX	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1207793	Olav Bergheim	C/O Fjord Ventures Llc 26051 Merit Circle, Suite 102 Laguna Hills CA 92653		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-11-02	1,090,752	$0.00	1,090,752	No	4	C	Indirect	Held by Fjordinvest LLC
Common Stock	Acquisiton	2021-11-02	393,473	$0.00	393,473	No	4	C	Indirect	Held by Fjordinvest (Cayman) Ltd.
Common Stock	Acquisiton	2021-11-02	52,766	$0.00	66,464	No	4	C	Indirect	Held by Fjord Ventures LLC
Common Stock	Acquisiton	2021-11-02	21,713	$0.00	131,302	No	4	C	Indirect	Held by Micro LLC
Common Stock	Acquisiton	2021-11-02	33,500	$12.00	164,802	No	4	P	Indirect	Micro LLC
Common Stock	Acquisiton	2021-11-02	691,628	$0.00	691,628	No	4	C	Indirect	Held by Fjord Capital Partners I, L.P.
Common Stock	Acquisiton	2021-11-02	286,673	$0.00	286,673	No	4	C	Indirect	Held by Fjordinvest (Cayman) II Ltd.
Common Stock	Acquisiton	2021-11-02	24,906	$0.00	24,906	No	4	C	Indirect	Held by IRA

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	Held by Fjordinvest LLC
No	4	C	Indirect	Held by Fjordinvest (Cayman) Ltd.
No	4	C	Indirect	Held by Fjord Ventures LLC
No	4	C	Indirect	Held by Micro LLC
No	4	P	Indirect	Micro LLC
No	4	C	Indirect	Held by Fjord Capital Partners I, L.P.
No	4	C	Indirect	Held by Fjordinvest (Cayman) II Ltd.
No	4	C	Indirect	Held by IRA

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-1 Preferred Stock	Disposition	2021-11-02	592,372	$0.00	592,372	$0.00
Common Stock	Series B Preferred Stock	Disposition	2021-11-02	159,170	$0.00	159,170	$0.00
Common Stock	Series C Preferred Stock	Disposition	2021-11-02	99,626	$0.00	99,626	$0.00
Common Stock	Series C-1 Preferred Stock	Disposition	2021-11-02	239,584	$0.00	239,584	$0.00
Common Stock	Series D Preferred Stock	Disposition	2021-11-02	393,473	$0.00	393,473	$0.00
Common Stock	Series B Preferred Stock	Disposition	2021-11-02	52,766	$0.00	52,766	$0.00
Common Stock	Series B Preferred Stock	Disposition	2021-11-02	21,713	$0.00	21,713	$0.00
Common Stock	Series B Preferred Stock	Disposition	2021-11-02	592,002	$0.00	592,002	$0.00
Common Stock	Series C Preferred Stock	Disposition	2021-11-02	99,626	$0.00	99,626	$0.00
Common Stock	Series D Preferred Stock	Disposition	2021-11-02	286,673	$0.00	286,673	$0.00
Common Stock	Series E Preferred Stock	Disposition	2021-11-02	24,906	$0.00	24,906	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

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.
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.
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.
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
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.
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.
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.
Held by PENSCO Trust Company, Custodian, FBO Olav Bergheim.