SNOA / Sonoma Pharmaceuticals, Inc. - SEC-arkiveringar, Årsredovisning, Fullmaktsutlåtande

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240.

WARRANT AGENCY AGREEMENT

Exhibit 4.4 Execution Version WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of April 28, 2026 (“Agreement”), between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Computershare Inc. (“Computershare”), a Delaware corporation, and its affiliate, Computershare Trust Company, N.A., a federally chartered trust company, collectively as warrant agent (the “Warran

Sonoma Pharmaceuticals Announces Pricing of $4 Million Public Offering

Exhibit 99.1 April 24, 2026 Sonoma Pharmaceuticals Announces Pricing of $4 Million Public Offering BOULDER, CO / ACCESS Newswire / April 24, 2026 /Sonoma Pharmaceuticals, Inc. (the "Company or "Sonoma Pharmaceuticals") (NASDAQ:SNOA), a global healthcare leader in hypochlorous acid (HOCl) technology, today announced the pricing of its public offering made on a firm commitment basis with gross proce

UNDERWRITING AGREEMENT

Exhibit 1.1 UNDERWRITING AGREEMENT April 24, 2026 DAWSON JAMES SECURITIES, INC. 101 N. Federal Highway Suite 600 Boca Raton, Florida 33432 As Representative of the several Underwriters named on Schedule 1 attached hereto Ladies and Gentlemen: The undersigned, Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) with Dawson James Sec

COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC.

Exhibit 4.1 COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC. Warrant Shares: 3,407,404 Initial Exercise Date: April 27, 2026 CUSIP: 83558L 147 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any

PRE-FUNDED COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC.

Exhibit 4.2 PRE-FUNDED COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC. Warrant Shares: 1,312,247 Initial Exercise Date: April 27, 2026 CUSIP: 83558L 154 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereina

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 24, 2026 SONOMA PHARMACEUTIC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 24, 2026 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

WARRANT AGENCY AGREEMENT

Exhibit 4.5 Execution Version WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of April 28, 2026 (“Agreement”), between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Computershare Inc. (“Computershare”), a Delaware corporation, and its affiliate, Computershare Trust Company, N.A., a federally chartered trust company, collectively as warrant agent (the “Warran

2,962,962 Units consisting of One Share of Common Stock (or Pre-Funded Warrants in lieu thereof) and One Common Warrant to Purchase One Share of Common Stock Up to 3,111,110 Shares of Common Stock underlying the Pre-Funded Warrants, Common Warrants a

Filed pursuant to Rule 424(b)(4) Registration No. 333-295171 2,962,962 Units consisting of One Share of Common Stock (or Pre-Funded Warrants in lieu thereof) and One Common Warrant to Purchase One Share of Common Stock And Up to 3,111,110 Shares of Common Stock underlying the Pre-Funded Warrants, Common Warrants and Underwriter's Warrants SONOMA PHARMACEUTICALS, INC. We are offering 2,962,962 unit

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240.

As filed with the Securities and Exchange Commission on April 22, 2026.

Table of Contents As filed with the Securities and Exchange Commission on April 22, 2026.

April 22, 2026

April 22, 2026 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

April 22, 2026

April 22, 2026 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

PRE-FUNDED COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC.

Exhibit 4.4 PRE-FUNDED COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: April [*], 2026 CUSIP: THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at a

COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC.

Exhibit 4.3 COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: April [*], 2026 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after th

CALCULATION OF FILING FEE TABLES Sonoma Pharmaceuticals, Inc. Table 1: Newly Registered and Carry Forward Securities

Ex-Filing Fees CALCULATION OF FILING FEE TABLES S-1 Sonoma Pharmaceuticals, Inc. Table 1: Newly Registered and Carry Forward Securities Line Item Type Security Type Security Class Title Notes Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to be Paid Equity Common S

UNDERWRITER COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC.

Exhibit 4.5 NEITHER THIS PURCHASE WARRANT NOR THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "ACT"), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE ACT, OR (B) AN OPINION OF CO

WARRANT AGENCY AGREEMENT

Exhibit 4.7 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of April [*], 2026 (“Agreement”), between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Computershare, Inc. (the “Warrant Agent”). W I T N E S S E T H WHEREAS, pursuant to a registered offering by the Company of units (the “Units”), each consisting of (a) one share of common stock, par value $0.0001

UNDERWRITING AGREEMENT

Exhibit 1.1 UNDERWRITING AGREEMENT April [●], 2026 DAWSON JAMES SECURITIES, INC. 101 N. Federal Highway Suite 600 Boca Raton, Florida 33432 As Representative of the several Underwriters named on Schedule 1 attached hereto Ladies and Gentlemen: The undersigned, Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) with Dawson James Se

WARRANT AGENCY AGREEMENT

Exhibit 4.6 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of April [*], 2026 (“Agreement”), between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Computershare, Inc. (the “Warrant Agent”). W I T N E S S E T H WHEREAS, pursuant to a registered offering by the Company of units (the “Units”), each consisting of (a) one share of common stock, par value $0.0001

As filed with the Securities and Exchange Commission on April 17, 2026.

Table of Contents As filed with the Securities and Exchange Commission on April 17, 2026.

LETTER

April 10, 2026 Amy Trombly Chief Executive Officer Sonoma Pharmaceuticals, Inc. 5445 Conestoga Court, Suite 150 Boulder, CO 80301 Re: Sonoma Pharmaceuticals, Inc. Draft Registration Statement on Form S-1 Submitted April 9, 2026 CIK No. 0001367083 Dear Amy Trombly: This is to advise you that we do not intend to review your registration statement. We request that you publicly file your registration

WARRANT AGENCY AGREEMENT

Exhibit 4.6 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of April [*], 2026 (“Agreement”), between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Computershare, Inc. (the “Warrant Agent”). W I T N E S S E T H WHEREAS, pursuant to a registered offering by the Company of units (the “Units”), each consisting of (a) one share of common stock, par value $0.0001

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 8, 2026 SONOMA PHARMACEUTICA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 8, 2026 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

PRE-FUNDED COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC.

Exhibit 4.4 PRE-FUNDED COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: April [*], 2026 CUSIP: THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at a

UNDERWRITING AGREEMENT

Exhibit 1.1 UNDERWRITING AGREEMENT April [●], 2026 DAWSON JAMES SECURITIES, INC. 101 N. Federal Highway Suite 600 Boca Raton, Florida 33432 As Representative of the several Underwriters named on Schedule 1 attached hereto Ladies and Gentlemen: The undersigned, Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) with Dawson James Se

UNDERWRITER COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC.

Exhibit 4.5 NEITHER THIS PURCHASE WARRANT NOR THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "ACT"), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE ACT, OR (B) AN OPINION OF CO

As confidentially submitted to the Securities and Exchange Commission on April 9, 2026. This draft registration statement has not been publicly filed with the U.S. Securities and Exchange Commission and all information herein remains strictly confide

Table of Contents As confidentially submitted to the Securities and Exchange Commission on April 9, 2026.

MANUFACTURING AND SUPPLY AGREEMENT

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] MANUFACTURING AND SUPPLY AGREEMENT MANUFACTURING AND SUPPLY AGREEMENT, dated as of October 24, 2026 (the “Effective Date”), by and between Kenvue Brands LLC, a Delaware limited liability company ("Buyer"), and

WARRANT AGENCY AGREEMENT

Exhibit 4.7 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of April [*], 2026 (“Agreement”), between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Computershare, Inc. (the “Warrant Agent”). W I T N E S S E T H WHEREAS, pursuant to a registered offering by the Company of units (the “Units”), each consisting of (a) one share of common stock, par value $0.0001

COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC.

Exhibit 4.3 COMMON STOCK PURCHASE WARRANT SONOMA PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: April [*], 2026 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after th

Lease Extension Agreement

Exhibit 10.18 Lease Extension Agreement This Second Amendment to the Lease (this “Second Amendment”) is made November 5, 2025, by and between WESTLAND DEVELOPMENT SERVICES, INC., a Colorado Corporation, (the “Landlord”), and SONOMA PHARMACEUTICALS, INC., a(n) Delaware Corporation (the “Tenant”). RECITALS A. The Landlord and the Tenant entered into that certain Lease, dated February 19, 2021 and a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2025 ☐ TRANSITION REPORT PURSUANT TO

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

Consulting Agreement

Exhibit 10.1 Consulting Agreement This Consulting Agreement (this “Agreement”) is entered into and effective as of January 28, 2026 (the “Effective Date”), by and between Dr. Jay Birnbaum, an individual (“Consultant”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation whose principal address is 5445 Conestoga Court, Suite 150, Boulder, Colorado 80301 (“Sonoma”). Consultant and Sonoma may be

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 28, 2026 SONOMA PHARMACEUT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 28, 2026 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

SONOMA PHARMACEUTICALS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION PROGRAM STOCK OWNERSHIP GUIDELINES Revised by the Board of Directors on January 28, 2026

Exhibit 10.2 SONOMA PHARMACEUTICALS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION PROGRAM AND STOCK OWNERSHIP GUIDELINES Revised by the Board of Directors on January 28, 2026 Non-Employee Director For purposes of this Non-Employee Director Compensation Program, a “non-employee director” is any director of the Company that is not also an employee of the Company or any of its subsidiaries. Directors who

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 12, 2026 SONOMA PHARMACEUT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 12, 2026 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Sonoma Pharmaceuticals, Inc. Investor Presentation January 2026

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation January 2026 Legal Disclaimers r INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assumptions ma

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 2, 2026 SONOMA PHARMACEUTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 2, 2026 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2025 ☐ TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 18, 2025 SONOMA PHARMACEUT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 18, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 3, 2025 SONOMA PHARMACEUTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 3, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Amy Trombly (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of October 3, 2025 (the “Effective Date”). This Agreement replaces that certain employment agreement dated as of June 16, 2023, and ente

Sonoma Pharmaceuticals, Inc. Investor Presentation September 2025 Legal Disclaimers or INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data cont

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation September 2025 Legal Disclaimers or INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assumptions

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 29, 2025 SONOMA PHARMACE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 29, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 26, 2025 SONOMA PHARMACE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 26, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo

Sonoma Pharmaceuticals, Inc. Common Stock (par value $0.0001 per share) At Market Issuance Sales Agreement

Exhibit 1.1 EXECUTION VERSION Sonoma Pharmaceuticals, Inc. Common Stock (par value $0.0001 per share) At Market Issuance Sales Agreement September 26, 2025 Ladenburg Thalmann & Co. Inc. 640 5th Avenue, 4th Floor New York, NY 10019 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Ladenburg Thalmann & Co. Inc.

Up to $2,070,463 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 20, 2023) Up to $2,070,463 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an At Market Issuance Sales Agreement, dated September 26, 2025, which we refer to herein as the ATM Agreement, with Ladenburg Thalmann & Co. Inc., or Ladenburg, relating to the sale of shares of o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 27, 2025 SONOMA PHARMACEUTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 27, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 ☐ TRANSITION REPORT PURSUANT TO SEC

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

Amendment No. 3 to Master Supply Agreement, dated July 23, 2025, by and between Sonoma Pharmaceuticals, Inc. and WellSpring Pharmaceutical Corporation.

Exhibit 10.31 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Amendment No.3 to Master Supply Agreement This Amendment No. 3 to Master Supply Agreement (this “Amendment”) is entered into as of July 23, 2025 (the “Amendment Effective Date”) by and between Sonoma Pharmaceu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA

Calculation of Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sonoma Pharmaceuticals, Inc.

Sonoma Pharmaceuticals, Inc. Policy as to Trades in the Company’s Securities by Company Personnel and Treatment of Confidential Information, as amended on December 20, 2023.

Exhibit 19 Sonoma pharmaceuticals, INC. Policy as to Trades in the Company’s Securities by Company Personnel and Treatment of Confidential Information As amended on December 20, 2023 Purpose Both the Securities and Exchange Commission (the “SEC”) and Congress are very concerned about maintaining the fairness of the U.S. securities markets. The securities laws are continually reviewed and amended t

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC.

Amendment No. 2 to Master Supply Agreement, dated June 2, 2025, by and between Sonoma Pharmaceuticals, Inc. and WellSpring Pharmaceutical Corporation

Exhibit 10.30 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Amendment No.2 to Master Supply Agreement This Amendment No. 2 to Master Supply Agreement (this “Amendment”) is entered into as of June 2, 2025 (the “Amendment Effective Date”) by and between Sonoma Pharmaceut

Distribution and Supply Agreement, effective March 28, 2025, by and between Sonoma Pharmaceuticals, Inc. and Phase One Health, LLC

Exhibit 10.31 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Distribution and Supply Agreement This Distribution and Supply Agreement is entered into as of March 28, 2025 (the “Effective Date”) by and between Sonoma Pharmaceuticals, Inc., a Delaware corporation having a

Sonoma Pharmaceuticals, Inc. Investor Presentation April 2025

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation April 2025 1 Legal Disclaimers or INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assumptions m

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 28, 2025 SONOMA PHARMACEUTIC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 28, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

Sonoma Pharmaceuticals, Inc. Investor Presentation April 2025 Legal Disclaimers or INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data containe

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation April 2025 Legal Disclaimers or INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assumptions mad

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 7, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Amendment No. 1 to Master Supply Agreement, dated March 21, 2025, by and between Sonoma Pharmaceuticals, Inc. and WellSpring Pharmaceutical Corporation

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Amendment No.1 to Master Supply Agreement This Amendment No. 1 to Master Supply Agreement (this “Amendment”) is entered into as of March 21, 2025 (the “Amendment Effective Date”) by and between Sonoma Pharmaceu

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 21, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 ☐ TRANSITION REPORT PURSUANT TO

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 29, 2025 SONOMA PHARMACEUT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 29, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Master Supply Agreement, dated January 29, 2025, by and between Sonoma Pharmaceuticals, Inc. and WellSpring Pharmaceutical Corporation

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Master Supply Agreement This Master Supply Agreement is entered into as of January 29, 2025 (the “Effective Date”) by and between Sonoma Pharmaceuticals, Inc., a Delaware corporation having a place of business

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 2, 2025 SONOMA PHARMACEUTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 2, 2025 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC.

Calculation of Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sonoma Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 21, 2024 SONOMA PHARMACEU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 21, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

Code of Business Conduct, as revised and adopted on November 5, 2024

Exhibit 14.1 Code of Business Conduct Revised November 5, 2024 Introduction It is the general policy of Sonoma Pharmaceuticals, Inc. (the “Company”) to conduct its business activities and transactions with the highest level of integrity and ethical standards and in accordance with all applicable laws. In carrying out this policy, the Board of Directors of the Company has adopted the following Code

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 17, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Sonoma Pharmaceuticals, Inc. Investor Presentation October 2024

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation October 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. The data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assumptions made

Amendment No. 1 to Distribution Agreement, dated October 17, 2024, by and between Sonoma Pharmaceuticals, Inc. and Medline Industries, LP

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] AMENDMNET NO. 1 TO DISTRIBUTION AGREEMENT This Amendment No. 1 (this “Amendment”) to the Distribution Agreement, dated August 19, 2024 (the “Original Agreement”), between Medline Industries, LP, an Illinois lim

Up to $835,400 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 20, 2023) Up to $835,400 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023, as amended on March 8, 2024 (collectively, the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), relati

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 20, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo

Certificate of Amendment to the Restated Certificate of Incorporation of Sonoma Pharmaceuticals, Inc., as amended, dated August 27, 2024.

Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED OF SONOMA PHARMACEUTICALS, INC. Sonoma Pharmaceuticals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”) does hereby certify that: FIRST: That at a meeting of the Board of Directors of the Corporation resolutions wer

Sonoma Pharmaceuticals Announces 1-for-20 Reverse Split of Outstanding Common Stock

Exhibit 99.1 Sonoma Pharmaceuticals Announces 1-for-20 Reverse Split of Outstanding Common Stock August 28, 2024 / BOULDER, CO / Sonoma Pharmaceuticals, Inc. (Nasdaq:SNOA), a global healthcare leader developing and producing patented Microcyn® technology based stabilized hypochlorous acid (HOCl) products for a wide range of applications, including wound care, eye, oral and nasal care, dermatologic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 23, 2024 SONOMA PHARMACEUTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 23, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

Up to $1,270,352 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 20, 2023) Up to $1,270,352 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023, as amended on March 8, 2024 (collectively, the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), rela

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 22, 2024 SONOMA PHARMACEUTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 22, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

Distribution Agreement, dated August 19, 2024, by and between Sonoma Pharmaceuticals, Inc. and Medline Industries, LP

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] DISTRIBUTION AGREEMENT This Distribution Agreement, effective on August 19th, 2024 (the “Effective Date”), is between Medline Industries, LP, an Illinois limited partnership with its principal offices located a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 19, 2024 SONOMA PHARMACEUTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 19, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

EXTREMELY IMPORTANT

5445 Conestoga Court, Suite 150 Boulder, Colorado 80301 EXTREMELY IMPORTANT August 14, 2024 Re: Sonoma Pharmaceuticals, Inc.

NOTICE OF ADJOURNMENT OF ANNUAL MEETING YOUR PARTICIPATION IS REQUESTED

5445 Conestoga Court, Suite 150 Boulder, Colorado 80301 NOTICE OF ADJOURNMENT OF ANNUAL MEETING YOUR PARTICIPATION IS REQUESTED August 14, 2024 Dear Fellow Stockholder: According to our latest records, we have not yet received your voting instructions for the Annual Meeting of Stockholders of Sonoma Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SEC

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY

5445 Conestoga Court, Suite 150 Boulder, Colorado 80301 (800) 759-9305 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY July 24, 2024 Dear Fellow Stockholder: We are reaching out to you regarding the proxy materials that you recently received in connection to the annual meeting of stockholders of Sonoma Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240.

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 27, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Up to $434,102 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 20, 2023) Up to $434,102 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023, as amended on March 8, 2024 (collectively, the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), relati

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240.

Calculation of Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sonoma Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA

Sonoma Pharmaceuticals, Inc. Compensation Clawback Policy

Exhibit 97 SONOMA PHARMACEUTICALS, INC. COMPENSATION CLAWBACK POLICY In accordance with the applicable rules of The Nasdaq Stock Market (the “Nasdaq Rules”) and Section 10D and Rule 10D-1 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (“Rule 10D-1”), the Board of Directors (the “Board”) of Sonoma Pharmaceuticals, Inc. (the “Company”) has adopted this Policy (the “Policy”)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC.

Amendment No. 1 to Amended and Restated Bylaws, as amended, of Sonoma Pharmaceuticals, Inc., effective June 14, 2024

Exhibit 3.10 AMENDMENT NO. 1 TO THE AMENDED AND RESTATED BYLAWS OF SONOMA PHARMACEUTICALS, INC. On June 14, 2024 the Board of Directors of Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), approved by unanimous written consent to amend the Corporation’s Amended and Restated Bylaws as follows: 1. Section 2.8 of the Amended and Restated Bylaws is hereby amended and restated i

Sonoma Pharmaceuticals, Inc. Investor Presentation April 9, 2024

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation April 9, 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 9, 2024 SONOMA PHARMACEUTICA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 9, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 2, 2024 SONOMA PHARMACEUTICA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 2, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Sonoma Pharmaceuticals, Inc. Investor Presentation April 2024

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation April 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons mad

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 21, 2024 SONOMA PHARMACEUTIC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 21, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

Amendment No. 1 to Equity Distribution Agreement, by and between Sonoma Pharmaceuticals, Inc. and Maxim Group LLC., dated March 8, 2024

Exhibit 1.1 AMENDMENT NO. 1 TO EQUITY DISTRIBUTION AGREEMENT March 8, 2024 Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Maxim Group LLC, as sales agent (the “Agent”), are parties to that certain Equity Distribution Agreement dated as of December 15, 2023 (the “Original Agreement”

Up to $785,679 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Filed Pursuant to Rule 424(b)(3) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 22, 2023) Up to $785,679 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023, as amended on March 8, 2024 (collectively, the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), relati

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 8, 2024 SONOMA PHARMACEUTICA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 8, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Offer letter to John Dal Poggetto dated February 7, 2024.

Exhibit 10.42 February 7, 2024 John Dal Poggetto Re: Offer of Full-Time Employment Sonoma Pharmaceuticals, Inc. Dear John, Sonoma Pharmaceuticals, Inc. (hereinafter the “Company”) is converting your position to full-time employee effective this pay period. You will retain the title of Controller and you will report directly to Jerry Dvonch, Chief Financial Officer. This is a remote position with t

Offer letter to Jerome Dvonch dated February 7, 2024.

Exhibit 10.41 February 7, 2024 Jerome Dvonch Re: Offer of Employment as Chief Financial Officer Sonoma Pharmaceuticals, Inc. Dear Jerry, Sonoma Pharmaceuticals, Inc. (hereinafter the “Company”) is pleased to offer you the position of Chief Financial Officer effective February 7, 2024. You will be appointed to the position by the Board of Directors and you will report directly to Amy Trombly, Chief

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 10, 2024 SONOMA PHARMACEUT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 10, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Sonoma Pharmaceuticals, Inc. Investor Presentation January 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data containe

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation January 2024 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons m

License and Distribution Agreement, dated January 5, 2024, by and between Sonoma Pharmaceuticals, Inc. and NovaBay Pharmaceuticals, Inc.

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] License AND distribution Agreement This License and Distribution Agreement (this “Agreement”) is made and entered into as of January 5, 2024, by and between NovaBay Pharmaceuticals, Inc., a Delaware corporation

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 5, 2024 SONOMA PHARMACEUTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 5, 2024 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 29, 2023 SONOMA PHARMACEU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 29, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 15, 2023 SONOMA PHARMACEU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 15, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

Equity Distribution Agreement, by and between Sonoma Pharmaceuticals, Inc. and Maxim Group LLC, dated December 15, 2023

Exhibit 1.1 Sonoma Pharmaceuticals, Inc. Shares of Common Stock (par value, $0.0001 per share) EQUITY DISTRIBUTION AGREEMENT December 15, 2023 Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to issue and sell through Maxim Group LLC, as exclusive sales agent (the “Agent”), shar

Up to $392,077 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Filed Pursuant to Rule 424(b)(3) Registration No. 333-275311 PROSPECTUS SUPPLEMENT (to Prospectus dated November 22, 2023) Up to $392,077 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, dated December 15, 2023 (the “Equity Distribution Agreement”), with Maxim Group LLC (“Maxim, or the “Sales Agent”), relating to the sale of shares of our common stoc

PROSPECTUS SONOMA PHARMACEUTICALS, INC. Common Stock Preferred Stock Debt Securities

Filed Pursuant to Rule 424(b)(5) Registration No. 333-275311 PROSPECTUS $51,300,000 SONOMA PHARMACEUTICALS, INC. Common Stock Preferred Stock Debt Securities Warrants Units We may, from time to time, offer and sell common stock, preferred stock, debt securities or warrants, either separately or in units, in one or more offerings. The preferred stock and warrants may be convertible into or exercisa

November 17, 2023

November 17, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

First Amendment to the Lease between the Company and Westland Development Services, Inc., dated June 21, 2023

Exhibit 10.38 Lease Amendment This First Amendment to the Lease (this “First Amendment”) is made June 21, 2023, by and between WESTLAND DEVELOPMENT SERVICES, INC., a Colorado Corporation, (the “Landlord”), and SONOMA PHARMACEUTICALS, INC., a(n) Delaware Corporation (the “Tenant”). RECITALS A. The Landlord and the Tenant entered into that certain Lease, dated February 19, 2021 (the “Original Lease”

Boulder Lease Agreement between the Company and Westland Development Services, Inc., dated February 19, 2021.

Exhibit 10.20 Lease Agreement BY AND BETWEEN Westland Development Services, Inc. (“Landlord”) AND (“Tenant”) Sonoma Pharmaceuticals, Inc. 1 This Lease Agreement (“Lease”) is made effective as of February 19, 2021, by and between WESTLAND DEVELOPMENT SERVICES, INC., A COLORADO CORPORATION (“Landlord”), and Sonoma Pharmaceuticals, Inc. , A Delaware Corporation (“Tenant”). For valuable consideration,

LETTER

United States securities and exchange commission logo November 7, 2023 Amy Trombly Chief Executive Officer Sonoma Pharmaceuticals, Inc.

As filed with the Securities and Exchange Commission on November 3, 2023.

Table of Contents As filed with the Securities and Exchange Commission on November 3, 2023.

Calculation of Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) Sonoma Pharmaceuticals, Inc.

Form of Indenture, by and between the Company and one or more trustees to be named

Exhibit 4.3 SONOMA PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [•], 20 Debt Securities INDENTURE Indenture, dated as of [•], 20, among SONOMA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and [Trustee], as trustee (the “Trustee”): Whereas, for its lawful corporate purposes, the Company has duly authorized the execution and delivery of this Indenture

8,500,000 Shares of Common Stock SONOMA PHARMACEUTICALS, INC.

Table of Contents Filed pursuant to Rule 424(b)(4) Registration No. 333-274582 8,500,000 Shares of Common Stock SONOMA PHARMACEUTICALS, INC. We are offering on a best efforts basis 8,500,000 shares of our common stock, $0.0001 par value per share (the “Common Stock”), at a public offering price of $0.20 per share. See “Description of Securities” in this prospectus for more information. We sometime

Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 October 24, 2023

Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 October 24, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

October 24, 2023

October 24, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

October 13, 2023

October 13, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

Calculation of Filing Fee

Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Sonoma Pharmaceuticals, Inc.

Form of Placement Agency Agreement

Exhibit 1.1 PLACEMENT AGENCY AGREEMENT [], 2023 Sonoma Pharmaceuticals, Inc. 5445 Conestoga Court, Suite 150 Boulder, Colorado 80301 Attention: Amy Trombly, Chief Executive Officer Dear Ms. Trombly: This letter agreement (the “Agreement”) constitutes the agreement between Maxim Group LLC (“Maxim” or the “Placement Agent”) and Sonoma Pharmaceuticals, Inc., a Delaware corporation (together with its

As filed with the Securities and Exchange Commission on October 13, 2023.

Table of Contents As filed with the Securities and Exchange Commission on October 13, 2023.

Form of Securities Purchase Agreement

Exhibit 10.38 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [], 2023, between Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions

Sonoma Pharmaceuticals, Inc. Investor Presentation October 2023 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data containe

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation October 2023 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons m

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 11, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Sonoma Pharmaceuticals, Inc. Investor Presentation October 2023 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data containe

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. Investor Presentation October 2023 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons m

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 11, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 22, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo

LETTER

United States securities and exchange commission logo September 27, 2023 Amy Trombly Chief Executive Officer Sonoma Pharmaceuticals, Inc.

As filed with the Securities and Exchange Commission on September 19, 2023.

Table of Contents As filed with the Securities and Exchange Commission on September 19, 2023.

Calculation of Filing Fee

Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Sonoma Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material Pursuant §240.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SEC

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant §240.

Offer letter to John Dal Poggetto dated July 11, 2023

Exhibit 10.1 July 11, 2023 John Dal Poggetto Re: Offer of Employment Sonoma Pharmaceuticals, Inc. Dear John, Sonoma Pharmaceuticals, Inc. (hereinafter the “Company”) is pleased to offer you the position of Controller. You will be appointed to the position by the Board of Directors and you will report directly to Jerry Dvonch, Interim Chief Financial Officer. This is a remote position with the exce

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 11, 2023 SONOMA PHARMACEUTICA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 11, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Consulting Agreement, by and between the Company and Jerome Dvonch Consulting, LLC, effective August 15, 2023

Exhibit 10.2 Consulting Agreement This Consulting Agreement (this “Agreement”) is entered into and effective as of August 15, 2023 (the “Effective Date”), by and between Jerome Dvonch Consulting, LLC, a Georgia limited liability company whose principal address is 888 Treadstone Overlook, Suwanee Georgia 30024 (“Consultant”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation whose principal

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA

Amended and Restated Employment Agreement by and between the Company and Amy Trombly, dated June 16, 2023

Exhibit 10.38 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Amy Trombly (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of June 16, 2023 (the “Effective Date”). This Agreement replaces that certain employment agreement dated as of July 22, 2022, and enter

Amended and Restated Employment Agreement by and between the Company and Bruce Thornton, dated June 16, 2023

Exhibit 10.39 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Bruce Thornton (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of June 16, 2023 (the “Effective Date”). This Agreement replaces that certain employment agreement dated as of July 22, 2022, and en

Sonoma Pharmaceuticals, Inc. May 2023

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. May 2023 1 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made within or the accura

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 10, 2023 SONOMA PHARMACEUTICAL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 10, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of

Consulting Agreement, by and between the Company and Jerome Dvonch, dated April 7, 2023

Exhibit 10.1 Consulting Agreement This Consulting Agreement (this “Agreement”) is entered into and effective as of April 7, 2023 (the “Effective Date”), by and between Jerome Dvonch, an individual (“Consultant”) whose address is 888 Treadstone Overlook, Suwanee Georgia 30024, and Sonoma Pharmaceuticals, Inc., a Delaware corporation whose principal address is 5445 Conestoga Court, Suite 150, Boulde

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 7, 2023 SONOMA PHARMACEUTICA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 7, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Up to $420,838 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Filed Pursuant to Rule 424(b)(5) Registration No. 333-250925 Supplement dated February 24, 2023 To Prospectus Supplement dated December 23, 2022 (To the Prospectus Dated December 23, 2020) Up to $420,838 SONOMA PHARMACEUTICALS, INC. COMMON STOCK This supplement (this “Supplement”) amends and supplements the prospectus supplement, dated December 23, 2022 (the “Prospectus Supplement”), filed as part

Amendment to At-The-Market Offering Agreement, by and between the Company and Ladenburg Thalmann & Co. Inc., dated February 24, 2023

Exhibit 1.1 February 24, 2023  Sonoma Pharmaceuticals, Inc. 54445 Conestoga Court, Suite 150 Boulder, CO 80301 Attn: Amy Trombly, President & CEO Dear Ms. Trombly: Reference is made to the At The Market Offering Agreement, dated as of December 23, 2022 (the “ATM Agreement”), between Sonoma Pharmaceuticals, Inc. (the “Company”) and Ladenburg Thalmann & Co., Inc. (the “Ladenburg”). This letter (the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 24, 2023 SONOMA PHARMACEU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 24, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

Exclusive Distribution and Supply Agreement, dated January 26, 2023, by and between Sonoma Pharmaceuticals, Inc. and Daewoong Pharmaceutical Co., Ltd.

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it both (i) is not material and (ii) is the type that the company treats as private or confidential.] Exclusive Distribution and Supply Agreement This Exclusive Distribution and Supply Agreement is entered into as of January 26, 2023 (the “Effective Date”) by and between Sonoma Pharmaceuticals, Inc., a Delaware

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 26, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Sonoma Pharmaceuticals, Inc. January 202 3 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived f

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. January 202 3 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made within or the acc

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 6, 2023 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

Sonoma Pharmaceuticals, Inc. Non-Employee Director Compensation Program and Stock Ownership Guidelines, revised by the Board of Directors on December 29, 2022

Exhibit 10.1 SONOMA PHARMACEUTICALS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION PROGRAM AND STOCK OWNERSHIP GUIDELINES Revised by the Board of Directors on December 29, 2022 Non-Employee Director For purposes of this Non-Employee Director Compensation Program, a ?non-employee director? is any director of the Company that is not also an employee of the Company or any of its subsidiaries. Directors who

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 29, 2022 SONOMA PHARMACEU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 29, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 23, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

Up to $2,700,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-250925 PROSPECTUS SUPPLEMENT (to Prospectus dated December 23, 2020) Up to $2,700,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an At The Market Offering Agreement which we refer to herein as the ATM Agreement, with Ladenburg Thalmann & Co. Inc., or Ladenburg, as the Manager, relating to the sale of shares

At-The-Market Offering Agreement, by and between the Company and Ladenburg Thalmann & Co. Inc., dated December 23, 2022

Exhibit 1.1 AT THE MARKET OFFERING AGREEMENT December 23, 2022 Ladenburg Thalmann & Co. Inc. 277 Park Avenue New York, NY 10172 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), confirms its agreement (this ?Agreement?) with Ladenburg Thalmann & Co. Inc. (the ?Manager?) as follows: 1. Definitions. The terms that follow, when used in this Agreement and any

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 3, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

Offer letter to Chad White dated September 8, 2022

Exhibit 10.1 September 8, 2022 Chad White 19468 W 52nd Drive Golden, CO 80403 Re: Offer of Employment Sonoma Pharmaceuticals, Inc. Dear Chad, Sonoma Pharmaceuticals, Inc. (hereinafter the ?Company?) is pleased to offer you the position of Chief Financial Officer. You will be appointed to the position by the Board of Directors and you will report directly to Amy Trombly, Chief Executive Officer. Th

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 15, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SEC

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

Amended and Restated Employment Agreement by and between the Company and Bruce Thornton, dated June 16, 2023

Exhibit 10.2 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into by and between Bruce Thornton (the ?Executive?), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), as of July 22, 2022 (the ?Effective Date?). This Agreement replaces that certain employment agreement dated as of July 1, 2021, and ente

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant ?240.

Amended and Restated Employment Agreement by and between the Company and Amy Trombly, dated June 16, 2023

Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into by and between Amy Trombly (the ?Executive?), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), as of July 22, 2022 (the ?Effective Date?). This Agreement replaces that certain employment agreement dated as of July 1, 2021, and entered

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 22, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

NT 10-K 1 sonomant10k-033122.htm FORM 12B-25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) [X] Form 10-K [] Form 20-F [] Form 11-K [ ] Form 10-Q [] Form N-SAR For Period Ended: March 31, 2022 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Report on Form

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 ☐ TRANSITION REPORT PURSUANT TO

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

Exclusive License and Distribution Agreement between Sonoma Pharmaceuticals, Inc. and Anlicare International dated January 18, 2022

Exhibit 10.2 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed.] EXCLUSIVE LICENSE AND DISTRIBUTION AGREEMENT This Exclusive License and Distribution Agreement is made and entered into as of January 18, 2022 (hereinafter the ?Effective Date?) by and between: Sonoma Pharmaceuticals, In

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 18, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Non-Exclusive Distribution and Supply Agreement between the Company and Salus Medical, LLC dated January 19, 2022

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed.] Non-Exclusive Distribution and Supply Agreement This Non-Exclusive Distribution and Supply Agreement is entered into as of January 19, 2022 (the ?Effective Date?) by and between Sonoma Pharmaceuticals, Inc., a Delaware c

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 14, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter)

Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 68-0423298 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 645 Molly Lane, Suite 150, Woodstock,

Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA January 2022

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA January 2022 1 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made wit

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 6, 2022 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ☐ TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 4, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Exclusive License and Distribution Agreement between the Company and Dyamed Biotech Pte Ltd., dated November 4, 2021

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if disclosed.] EXCLUSIVE LICENSE AND DISTRIBUTION AGREEMENT This Exclusive License and Distribution Agreement is made and entered into as of November 9, 2021 (hereinafter the ?Effective Date?) by and between: Sonoma Pharmaceuticals, Inc., a com

Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 15, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 3, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

Up to $3,000,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-250925 PROSPECTUS SUPPLEMENT (to Prospectus dated December 23, 2020) Up to $3,000,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an At The Market Offering Agreement which we refer to herein as the ATM Agreement, with H.C. Wainwright & Co., LLC, or Wainwright, as the Manager, relating to the sale of shares o

YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY

645 Molly Lane, Suite 150 Woodstock, Georgia 30189 (800) 759-9305 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY August 30, 2021 Dear Stockholder: We are reaching out regarding the proxy materials we recently sent you in connection with the annual meeting of stockholders of Sonoma Pharmaceuticals, Inc.

YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY

645 Molly Lane, Suite 150 Woodstock, Georgia 30189 (800) 759-9305 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY August 23, 2021 Dear Stockholder: We are reaching out regarding the proxy materials we recently sent you in connection with the annual meeting of stockholders of Sonoma Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ☐ TRANSITION REPORT PURSUANT TO SEC

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-33216 SONOMA PHARMACEUTICALS, INC.

YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY

645 Molly Lane, Suite 150 Woodstock, Georgia 30189 (800) 759-9305 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY August 16, 2021 Dear Stockholder: We are reaching out regarding the proxy materials we recently sent you in connection with the annual meeting of stockholders of Sonoma Pharmaceuticals, Inc.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 27, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

At-The-Market Offering Agreement, by and between the Company and H.C. Wainwright & Co., LLC, dated July 30, 2021

Exhibit 10.1 AT THE MARKET OFFERING AGREEMENT July 30, 2021 H.C. Wainwright & Co., LLC 430 Park Avenue New York, New York 10022 Ladies and Gentlemen: Sonoma Pharmaceuticals, Inc., a corporation organized under the laws of Delaware (the ?Company?), confirms its agreement (this ?Agreement?) with H.C. Wainwright & Co., LLC (the ?Manager?) as follows: 1. Definitions. The terms that follow, when used i

Up to $6,000,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK

Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-250925 PROSPECTUS SUPPLEMENT (to Prospectus dated December 23, 2020) Up to $6,000,000 SONOMA PHARMACEUTICALS, INC. COMMON STOCK We have entered into an At The Market Offering Agreement which we refer to herein as the ATM Agreement, with H.C. Wainwright & Co., LLC, or Wainwright, as the Manager, relating to the sale of shares o

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 30, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

2021 Equity Incentive Plan

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [] Check appropriate box: [] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [] Definitive Additional Materials [] Soliciting Material Pursuant ?240.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 15, 2021 SONOMA PHARMACEUTICA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 15, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Consent of Marcum, LLP.

Exhibit 16.1 July 20, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Sonoma Pharmaceuticals, Inc. under Item 4.01 of its Form 8-K dated July 15, 2021. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Sonoma Pharmaceuticals, Inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA

Consent of Marcum, LLP.

Exhibit 16.1 July 9, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Sonoma Pharmaceuticals, Inc. under Item 4.01 of its Form 8-K dated July 5, 2021. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Sonoma Pharmaceuticals, Inc.

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 5, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 1, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer of

Employment Agreement by and between the Company and Jerry Dvonch, dated July 1, 2021

Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into by and between Jerome Dvonch (the ?Executive?), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), as of July 1, 2021 (the ?Effective Date?). 1. Employment and Duties. 1.1 Position. On the terms and subject to the conditions set forth herein, the Corporation agrees to employ Ex

Employment Agreement by and between the Company and Amy Trombly, dated July 1, 2021

EX-10.1 2 sonomaex1001.htm EMPLOYMENT AGREEMENT BY AND BETWEEN THE COMPANY AND AMY TROMBLY, DATED JULY 1, 2021 Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Amy Trombly (the “Executive”), and Sonoma Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), as of July 1, 2021 (the “Effective Date”). 1. Employment and Duties. 1

Employment Agreement by and between the Company and Bruce Thornton, dated July 1, 2021

EX-10.3 4 sonomaex1003.htm EMPLOYMENT AGREEMENT BY AND BETWEEN THE COMPANY AND BRUCE THORNTON, DATED JULY 1, 2021 Exhibit 10.3 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Bruce Thornton (the “Executive”), and Oculus Innovative Sciences, Inc., a Delaware corporation (the “Corporation”), as of July 1, 2021 (the “Effective Date”). This Agreement re

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) [X] Form 10-K [] Form 20-F [] Form 11-K [ ] Form 10-Q [] Form N-SAR For Period Ended: March 31, 2021 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Report on Form 10-Q [] Transition Report on Form N-SAR For t

Exclusive Supply and Distribution Agreement between the Company and EMC Pharma, LLC, dated March 26, 2021

EX-10.1 2 sonoma8k-ex1001.htm EXCLUSIVE SUPPLY AND DISTRIBUTION AGREEMENT BETWEEN THE COMPANY AND EMC PHARMA, LLC, DATED MARCH 26, 2021 Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if disclosed.] EXCLUSIVE DISTRIBUTION AND SUPPLY AGREEMENT This Exclusive Distribution and Supply Agreement

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 26, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 4, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA March 2021 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA March 2021 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made within

Quarterly Report - QUARTERLY REPORT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216

Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 11, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA January 2021 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein

Exhibit 99.1 Sonoma Pharmaceuticals, Inc. NASDAQ: SNOA January 2021 Legal Disclaimers INVESTOR PRESENTATION This communication is for informational purposes only. The information contained herein does not purport to be all - inclusive. T he data contained herein is derived from various internal and external sources. No representation is made as to the reasonableness of the assum pti ons made withi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 4, 2021 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer

Addendum to Employment Agreement with Amy Trombly, dated January 4, 2021

Exhibit 10.1 Addendum to the Employment Agreement This Addendum (the “Addendum”) by and between Sonoma Pharmaceuticals, Inc. and Amy Trombly is effective December 31, 2020 (the “Effective Date”), and amends the employment agreement dated December 26, 2019 (the “Employment Agreement”) between the same parties. All capitalized terms shall have the same meaning as in the Employment Agreement or this

PROSPECTUS SONOMA PHARMACEUTICALS, INC. Common Stock Preferred Stock Debt Securities

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-250925 PROSPECTUS $63,425,000 SONOMA PHARMACEUTICALS, INC. Common Stock Preferred Stock Debt Securities Warrants Units We may, from time to time, offer and sell common stock, preferred stock, debt securities or warrants, either separately or in units, in one or more offerings. The preferred stock and warrants may be convertibl

December 18, 2020

December 18, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 14, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

Licensing and Distribution Agreement between Sonoma Pharmaceuticals, Inc. and Gabriel Science, LLC, effective December 14, 2020

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed.] Non-Exclusive Distribution and Supply Agreement This Non-Exclusive Distribution and Supply Agreement is entered into as of December 14, 2020 (the “Effective Date”) by and between Sonoma Pharmaceuticals, Inc., a Delaware

Louisville, CO 80027

1314 Main Street, Suite 102 Louisville, CO 80027 Phone: 617-243-0060 Fax: 617-243-0066 December 15, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

- FORM S-3 AMENDMENT 1

Table of Contents As filed with the Securities and Exchange Commission on December 15, 2020 Registration No.

Exclusive Licensing and Distribution Agreement between Sonoma Pharmaceuticals, Inc. and Crown Laboratories, Inc., effective December 4, 2020

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed.] EXCLUSIVE DISTRIBUTION AND SUPPLY AGREEMENT This Exclusive Distribution and Supply Agreement is entered into as of December 4, 2020 (the ?Effective Date?) by and between Sonoma Pharmaceuticals, Inc., a Delaware corporati

Financial Statements and Exhibits, Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 4, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employe

LETTER

United States securities and exchange commission logo December 7, 2020 Amy Trombly Chief Executive Officer Sonoma Pharmaceuticals, Inc.

Form of Indenture, by and between the Company and one or more trustees to be named

Exhibit 4.3 SONOMA PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [•], 20 Debt Securities INDENTURE Indenture, dated as of [•], 20, among SONOMA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and [Trustee], as trustee (the “Trustee”): Whereas, for its lawful corporate purposes, the Company has duly authorized the execution and delivery of this Indenture

Power of Attorney

Table of Contents As filed with the Securities and Exchange Commission on November 24, 2020 Registration No.

Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 12, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File N

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) [] Form 10-K [] Form 20-F [] Form 11-K [X] Form 10-Q [] Form N-SAR For Period Ended: September 30, 2020 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Report on Form 10-Q [] Transition Report on Form N-SAR Fo

Submission of Matters to a Vote of Security Holders - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 18, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Emplo

Offer letter J. Dvonch dated August 10, 2020

Exhibit 10.1 August 10, 2020 Jerome Dvonch Re: Offer of Employment Sonoma Pharmaceuticals, Inc. Dear Jerry, Sonoma Pharmaceuticals, Inc. (hereinafter the “Company”) is pleased to offer you the position of Chief Financial Officer reporting directly to Amy Trombly, Chief Executive Officer. The purpose of this letter is to outline the terms of our employment agreement. Your signature in the space pro

Amendment No. 1 to the Consulting Agreement between the Company and TechCXO, LLC dated September 10, 2020

Exhibit 10.2 Consulting Services Agreement Amendment No. 1 The below designated Client (“Client”) acknowledges and agrees that the services performed by TechCXO, LLC are governed by the Terms and Conditions (FY 2019) attached hereto and incorporated as part of this Amendment No. 1 to the Consulting Services Agreement (“Agreement”). The terms of the accompanying Consulting Services Proposal are her

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 8, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employ

Quarterly Report - QUARTERLY REPORT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33216 SONO

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 31, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Licensing Agreement between Sonoma Pharmaceuticals, Inc. and MicroSafe Group, effective July 27, 2020

Exhibit 10.1 [Certain identified information has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed] LICENSING AGREEMENT This LICENSING AGREEMENT (the “Agreement”) is entered into by and between SONOMA PHARMACEUTICALS, inc., a corporation incorporated under the laws of Delaware hereinafter referred to as “Licensor” and M

Sonoma Pharmaceuticals, Inc. 2020 Equity Incentive Plan

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [] Check appropriate box: [] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [] Definitive Additional Materials [] Soliciting Material Pursuant §240.

Woodstock Lease Agreement between the Company and Fowler Crossing Partners, LP, dated October 1, 2018

Exhibit 10.41 LEASE AGREEMENT STATE OF GEORGIA COUNTY OF CHEROKEE This Lease Agreement, made and entered into by and between Fowler Crossing Partners, LP, hereinafter referred to as "Landlord", and Sonoma Pharmaceuticals, Inc. hereinafter referred to as "Tenant"; W I T N E S S E T H: 1. Premises and Term. In consideration of the obligation of Tenant to pay rent as herein provided, and in considera

Amendment No. 9 to Office Lease Agreement between the Company and SSCOP Properties LLC, dated June 20, 2020

Exhibit 10.40 NINTH AMENDMENT TO LEASE THIS NINTH AMENDMENT TO LEASE AGREEMENT (this “Amendment”) dated as of June 20, 2020 is entered into between SSCOP DE LLC, a Delaware limited liability company (“Landlord”) and SONOMA PHARMACEUTICALS, INC., a Delaware corporation (“Tenant”). THE PARTIES ENTER INTO THIS AMENDMENT based upon the following facts, understandings and intentions: A. Landlord (succe

Annual Report - FORM10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2020 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For transition period from to Commission File Number: 001-33216 SONOMA

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 24, 2020 SONOMA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-33216 68-0423298 (State or other jurisdiction (Commission (IRS Employer o

Asset Purchase Agreement between the Company and Infinity Labs SD, Inc., dated June 24, 2020

Exhibit 10.1 PURCHASE AND SALE AGREEMENT BY AND AMONG SONOMA PHARMACEUTICALS, INC., as the SELLER INFINITY LABS SD INC., as the BUYER, Dated: June 24, 2020 Table of Contents ARTICLE 1 4 ARTICLE 2 12 2.1 Transfer of Purchased Assets. 12 2.2 Excluded Assets. 13 2.3 Assumption of Liabilities. 14 2.4 Excluded Liabilities. 14 2.5 Consent of Third Parties. 15 2.6 Consideration. 15 2.7 Closing. 15 2.8 Al

- FORM 12B-25 (NT 10-K)

FORM 12B-25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) [X] Form 10-K [] Form 20-F [] Form 11-K [] Form 10-Q [] Form N-SAR For Period Ended: March 31, 2020 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Report on Form 10-Q [] Transition Report on Form