---
schema_version: "secwatch.filing_event.v1"
accession: "0001683168-23-008898"
form_type: "8-K"
ticker: "SNOA"
cik: "0001367083"
company_name: "Sonoma Pharmaceuticals, Inc."
filed_at: "2023-12-18T23:59:59+00:00"
generated_at: "2026-06-07T11:14:19.208650+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.5
calibrated_materiality_score: 0.5
confidence: "high"
source: SEC EDGAR
---

# Sonoma Pharmaceuticals enters into ATM equity distribution agreement with Maxim Group for up to $392,077

## Summary
- ATM facility allows Sonoma to sell up to $392,077 of common stock through Maxim Group.
- Maxim receives 3% commission per sale plus expense reimbursement up to $20,000.
- Sales under effective S-3 registration statement (333-275311) declared effective Nov 20, 2023.
- Company not obligated to sell any shares; no assurance of price, timing, or amount.
- Agreement terminates upon full sale of shares or earlier per its terms.

## SEC filing metadata
- accession: 0001683168-23-008898
- form_type: 8-K
- ticker: SNOA
- cik: 0001367083
- company_name: Sonoma Pharmaceuticals, Inc.
- filed_at: 2023-12-18T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.5
- calibrated_materiality_score: 0.5
- confidence: high
- sec_items: 1.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1367083/000168316823008898/0001683168-23-008898-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1367083/000168316823008898/sonoma_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001683168-23-008898
- JSON: https://secwatch.observer/filing/0001683168-23-008898.json
- Plain text: https://secwatch.observer/filing/0001683168-23-008898.txt

## Key facts
- Material Agreements
  Sonoma Pharmaceuticals, Inc. entered into Equity Distribution Agreement with Maxim Group LLC valued at up to $392,077 (effective 2023-12-15).
  - Action: entry
  - Agreement: atm program
  - Counterparty: Maxim Group LLC
  - Value: up to $392,077
  - Effective: 2023-12-15
  source text: On December 15, 2023, Sonoma Pharmaceuticals, Inc. (the “Company”) entered into an Equity Distribution Agreement (the “Agreement”), with Maxim Group LLC (“Maxim”), pursuant to which the Company may offer and sell, from time to time, through Maxim, as sales agent or principal, shares of its common stock, $0.0001 par value per share.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1367083/000168316823008898/0001683168-23-008898-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.