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SSFT~~huge,,Part D: Management Structure & Financial Information
Names of Officers, Directors and Control Persons (5% or more of a given shares class).
Name Affiliation
Mike Khanna
CEO, President and Director, holding 12,715,640
or 2.3% of Company's Common Stock.
Rob Baumert Chief Financial Officer
Paul Clauson Chief Operating Officer and Director
Caroline ZaborowskCi Chief Data Officer
Dr. Romesh K. Japra
Control Person holding 141,412,398 shares or
approximately 25.4% of Company's Common
Stock.
Ankur Garg
Control Person holding 7,358,143 or 1.3% of
Company’s Common stock and 313,897 or
24.8% of Company’s Preferred shares.
Paul Schlosberg Director
Kris Murthy Director
Bruce Serpa Director
Ankur Garg relinquished his role as Chief of Artificial Intelligence and ceased being an
employee of the company on Feb. 19, 2021. He resigned from his role as director on May
18, 2021. He was replaced on the board by Paul Schlosberg, who was elected to the board
on May 20, 2021.
Caroline Zaborowski was promoted to the position of Chief Data Officer on June 15, 2021.
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Directors and Executive Officers:
Name: Mike Khanna, CEO & President
Office Street Address: 1750 North First Street, Suite 103, San Jose, California 95112
Also a Director of the Company [X] Yes [ ] No
Mike Khanna is a Business Development professional and an experienced tech-based
entrepreneur. With over 20 years of experience in the Silicon Valley, he has driven
innovation and optimization from day one. From its inception, Mike has been an integral
part of Sonasoft's success through both business development and leadership roles. He has
been a key contributor to the launch of several products and service solutions including
SonaCloud, SonaSecure, and SonaVault, and is now a key driver of the company’s AI first
strategy. In his new role as CEO, Mike continues to fuel growth, through leadership in
Business Development, raising funds and maintaining investors relationship for the
Company.
Name: Rob Baumert, CFO
Office Street Address: 1750 North First Street, Suite 103, San Jose, California 95112
Also a Director of the Company [ ] Yes [X] No
Rob Baumert is a seasoned senior executive, with over 25 years of experience in the tech
sector. He began his career as a chemical engineer in the fuel cell industry, developing fuel
cell vehicles for Ford and Daimler Chrysler before transitioning into a career in finance
and operations. He has held CFO/COO positions in startups since 2004, working for
Grattan Group Capital, Redbubble, and X-Company. He holds advanced degrees in
engineering from the Royal Military College of Canada and Queen’s University, as well
as five patents in fuel cell technology. He holds an MBA from the Melbourne Business
School and completed the Emergent CFO Executive Education program at Stanford
University.
Name: Paul Clauson – Chief Operating Officer and Director
Also a Director of the Company [X] Yes [ ] No
Office Street Address: 1750 North First Street, Suite 103, San Jose, California 95112
Paul Clauson is an entrepreneur with over a decade of experience empowering startups.
His wealth of expertise encompasses go-to-market, digital strategy, customer acquisition,
fund-raising, and software as a service (SaaS). Recently, the innovative spirit running
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through Paul’s family was the subject of a book about his grandfather, Wallace, a brilliant
scientist who worked with John von Neumann and Albert Einstein. Paul received his
undergraduate degree from UCLA in Political Theory and has a master’s degree from
Western Seminary.
Name: Caroline Zaborowski – Chief Data Officer
Also a Director of the Company [ ] Yes [X] No
Office Street Address: 1750 North First Street, Suite 103, San Jose, California 95112
Caroline is a technologist with 12 years of research experience in the field of Astrophysics,
as well as 8 years of commercial experience in the Gaming, Financial and Technology
sectors.
Her research in Astrophysics at Oxford and Princeton focused on confronting cosmological
models of the Universe and its evolution until today with big data. The task of reducing the
Universe and all its complexity to a simple working model and designing novel statistical
algorithms with which to evaluate the model’s performance in light of complex datasets,
equipped her with a unique skill set for solving problems in creative ways. She has
successfully transferred this capability into the commercial sector, working for the last 5
years in leadership roles, spear-heading innovation in a range of technical fields. From the
digital disruption of the financial asset management space to developing data-driven
transformation strategies for large corporates, Caroline has delivered the unique
combination of a high level of technical competency, an ability to learn and adapt quickly
and strong leadership skills.
Caroline earned her Bacheors in Chemistry and Physics from the University of Natal, her
Masters in Astrophysics from the University of Cape Town, and her PhD in Astrophysics
from Oxford.
Name: Paul Schlosberg, Director
Office Street Address: 1750 North First Street, Suite 103, San Jose, California 95112
Paul Schlosberg serves as Managing Partner of COAL I LLC, an investment and
professional services engagement company in Dallas, Texas. Mr. Schlosberg’s
professional background includes a 36-year career in investment banking with Bache &
Company, Bear Stearns & Company and First Southwest Company. He was President &
COO of First Southwest Company and Chairman & CEO of First Southwest Asset
Management. Currently he serves on the Board of Directors of HOBI International, as
outside Operating Partner for Satori Capital, on the Board of Directors of Sonasoft, on the
Investment Committee of Seraph Partners and as Strategic Advisor of Capstone Holdings,
Inc. Previously, Mr. Schlosberg co-founded Water Rescue Services, providing water
recycling to the energy sector, and remains an active shareholder. He served 11 years on
The Listing Qualifications Committee of The NASDAQ Stock Market and as a Member
of the 1984 Republican National Convention Security Detail for Ronald W. Reagan and
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George H.W. Bush. Mr. Schlosberg received a B.B.A. from The University of Texas at
Austin and an M.B.A. from Southern Methodist University. He attended the Corporate
Governance, Compensation Committee Governance and Audit Committee Practices and
Governance programs at Harvard Graduate School of Business. He and his wife Shelia are
lifelong residents of Dallas, Texas.
Name: Bruce Serpa – Director
Office Street Address: 1750 North First Street, Suite 103, San Jose, California 95112
Mr. Bruce Serpa is senior manager for Seagate’s Lyve Services and has worked in the
storage industry for his entire career. Previous roles included VP of Global Sales for a
Scottish HDD manufacturer and General Manager of a $200M storage division for a global
distributor. Bruce spent the last 14 years with Seagate providing service offerings for
customer data. A storage industry pioneer, his passion is helping customers to gain access
to dormant or previously inaccessible data. He holds a degree in Computer Science.
Name: Kris Murthy - Director
Office Street Address: 1750 North First Street, Suite 103, San Jose, California 95112 Kris
Murthy has headed several companies in senior leadership positions including Managing
Director of Resonance IT, CEO of Oasis Systems, and Vice President of Scottline
Healthcare. He has also worked extensively in the hospitality industry at senior levels,
receiving several awards of distinction from multinationals including Marriott
Corporation.
Kris has tech management expertise and has conducted several training programs in
leadership, motivation, training and technical frameworks and operations for post- graduate
and graduate students in 12 different countries. Kris has a Masters in Information Systems,
an undergraduate degree in Health Information Management, and is a Microsoft Certified
Systems Engineer.

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