Investor Relations

 

George E. Ponticas, Chief Financial Officer & Secretary

Sonex Research, Inc.
23 Hudson Street
Annapolis, MD 21401

Tel: (410) 266-5556

To contact by e-mail write to:  george.ponticas@sonex-na.com

 

COMMON STOCK:
Sonex Common Stock is no longer traded in the over-the-counter market.  See "Public Company Status" below.

Shares outstanding @ 6/30/2009:  24,504,336
Shares held by affiliates: 5,664,029 (23.1%)
Final price quote: $.04 (July 12, 2007)

 

STOCK TRANSFER AGENT:

For shareholders whose stock is registered in their own name and reflected by a physical stock certificate, effective October 1, 2007, Corporate Stock Transfer of Denver, Colorado, is serving as the stock transfer agent and registrar for Sonex common stock.  All requests for certificate transfers, including restrictive legend removal, transfers to estates, etc., as well as replacement of lost certificates, are to be submitted to Corporate Stock Transfer, as follows:

 

Corporate Stock Transfer and Trust Co.

3200 Cherry Creek Drive South, Suite 430

Denver, CO  80209

Telephone (303) 282-4800

Fax (303) 282-5800

Email: knaughton@corporatestock.com

Telephone inquiries should be directed to account managers Carylyn Bell or Shari Humpherys.  If you have any issues that cannot be resolved by Corporate Stock Transfer, please contact George E. Ponticas, Sonex CFO and Secretary.

NOTICE: Please be advised there is an important change from past practice at Sonex.  Under our previous outside transfer agent and while Sonex served as its own transfer agent recently, individual transaction processing fees were absorbed by Sonex.  Such nominal fees charged by Corporate Stock Transfer will now be billed directly by Corporate Stock Transfer to the requesting shareholder and/or stockbroker.

Questions concerning shares held in "street name" in an account at a brokerage or other financial institution should be directed to your investment account representative.

 

 

CHANGE IN PUBLIC COMPANY STATUS:

 

Sonex has been subject to the periodic reporting requirements of the Securities and Exchange Commission (SEC).  Its Common Stock traded in the over-the-counter market and was quoted on the Pink Sheets Electronic Quotation Service under the symbol SONX.  The Company, however, became delinquent in its annual and quarterly SEC reporting requirements primarily as a result of the effects of a failed restructuring in 2004.  Sonex last filed an Annual Report on Form 10-KSB for the year ending December 31, 2003, and last filed a Quarterly Report on Form 10-QSB for the quarter ending September 30, 2004.  Sonex became delinquent in its filings because of the lack of the financial resources to engage an independent registered public accounting firm to conduct audits of the related financial statements and the lack of staffing to prepare the periodic reports, due in large part to the amount of time management has devoted and the amount of funds Sonex has spent in responding to litigation.  Through February 2007 Sonex continued to file with the SEC Current Reports on Form 8-K to disclose all material events.  The 8-K filings, as well as the past Forms 10-KSB and 10-QSB, and reporting of transactions in Sonex stock by officers, directors, and 10% shareholders, are available upon request from Sonex or can be accessed via the following link to the SEC’s EDGAR database:

http://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0000723312

 

In January 2007 the SEC notified Sonex that the registration of its stock would be subject to revocation if all required reports were not filed within 15 days of the date of the letter.  In February 2007 the Company submitted an Offer of Settlement (the “Offer”) to the SEC in anticipation of the proceedings that may be instituted against Sonex by the SEC.  The Company agreed to enter into a Consent Order with the SEC pursuant to which the registration of its stock would be revoked.  On July 13, 2007, the SEC issued its order revoking the registration of the Company’s stock; as a result, the Company’s stock will no longer trade publicly, which may adversely affect the value and liquidity of the stock.  The SEC order can be accessed via the following link http://www.sec.gov/litigation/admin/2007/34-56061.pdf.  Sonex intends to continue to report on all material events by posting such information on its website.  Should the Company be in a position in the future to have its securities once again registered, it can do so by filing the appropriate form of registration statement with the SEC.  While there is considerable expense associated with a registration statement, Sonex would not also have to incur the costs of filing all previously delinquent reports.