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SONO Sonos Inc

14.395
0.395 (2.82%)
Last Updated: 16:24:35
Delayed by 15 minutes
Share Name Share Symbol Market Type
Sonos Inc NASDAQ:SONO NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.395 2.82% 14.395 14.39 14.40 14.515 14.20 14.20 366,777 16:24:35

Statement of Changes in Beneficial Ownership (4)

06/08/2018 9:35pm

Edgar (US Regulatory)


FORM 4
[ ] 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 OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

BACH ROBERT J
2. Issuer Name and Ticker or Trading Symbol

Sonos Inc [ SONO ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

C/O SONOS, INC., 614 CHAPALA STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

8/6/2018
(Street)

SANTA BARBARA, CA 93101
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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   8/6/2018     C    97148   A   (1) 167534   D    
Common Stock   8/6/2018     C    12000   A   (1) 12000   I   See footnote   (2)
Common Stock   8/6/2018     C    12000   A   (1) 12000   I   See footnote   (3)
Common Stock                  16000   I   See footnote   (4)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 7. Title and Amount of Securities Underlying Derivative Security
(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
Series A Preferred Stock     (1) 8/6/2018     C         27716      (1)   (1) Common Stock   27716   $0   0   D    
Series B Preferred Stock     (1) 8/6/2018     C         17196      (1)   (1) Common Stock   17196   $0   0   D    
Series D Preferred Stock     (1) 8/6/2018     C         52236      (1)   (1) Common Stock   52236   $0   0   D    
Series A Preferred Stock     (1) 8/6/2018     C         12000      (1)   (1) Common Stock   12000   $0   0   I   See footnote   (2)
Series A Preferred Stock     (1) 8/6/2018     C         12000      (1)   (1) Common Stock   12000   $0   0   I   See footnote   (3)

Explanation of Responses:
(1)  In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
(2)  The shares are held by the Pauline M. Bach 2013 Annuity Trust, of which the Reporting Person's spouse is a beneficiary.
(3)  The shares are held by the Robert J. Bach 2013 Annuity Trust, for which the Reporting Person serves as a trustee.
(4)  The shares are held by the Pauline M. Bach 2016 Annuity Trust, of which the Reporting Person's spouse is a beneficiary.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
BACH ROBERT J
C/O SONOS, INC.
614 CHAPALA STREET
SANTA BARBARA, CA 93101
X



Signatures
/s/ Eric Bowers, by power of attorney 8/6/2018
** Signature of Reporting Person Date


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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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