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13D Filing: Longboard Capital Advisors, LLC and Resonant Inc (RESN)

You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Longboard Capital Advisors 4,229,259 00,000 4,229,259 00,000 4,229,259 25.35%
Brett Conrad 4,229,259 00,000 4,229,259 00,000 4,229,259 25.35%

Page 1 of 7 – SEC Filing

CUSIP No. 76118L102

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

INFORMATION TO BE INCLUDED IN STATEMENT
FILED PURSUANT TO Sec. 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO Sec. 240.13d-2(a)

Under the Securities Exchange Act of
1934

(Amendment Number 1)*



Resonant
Inc.

(Name of Issuer)

Common
Stock par value $0.001 per share

(Title of Class of Securities)

76118L102

(CUSIP Number)

Brett Conrad

Longboard Capital Advisors, LLC

1312 Cedar St.

Santa Monica, California 90405

(424) 205-1747

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

October
2, 2017

(Date of Event which Requires Filing of
this Statement)

If
the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule
13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
x

Note: Schedules filed in paper format shall include a
signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are
to be sent.

* The remainder of this cover page shall be filled
out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent
amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page
shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).

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Page 2 of 7 – SEC Filing

1.

NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE
PERSONS (ENTITIES ONLY)

Longboard Capital Advisors, LLC (86-1150459)

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    ¨
(b)    ¨
3. SEC USE ONLY
 
4. SOURCE OF FUNDS (see instructions)
 
OO/WC (funds of managed investment vehicles; working capital)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ¨
6. CITIZENSHIP OR PLACE OF ORGANIZATION
 
Longboard Capital Advisors, LLC – Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7. SOLE VOTING POWER
 
4,229,259*
8. SHARED VOTING POWER
 
00,000
9. SOLE DISPOSITIVE POWER
 
4,229,259*
10. SHARED DISPOSITIVE POWER
 
00,000
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

4,229,259*
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(see instructions)    ¨
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

25.35%*
14. TYPE OF REPORTING PERSON (see instructions)

Longboard Capital Advisors, LLC – IA

*As of October 2, 2017, Blue Earth Fund,
LP, Grayboard Investments, Ltd, Ptarmagin, LLC and Conrad Group Inc. Defined Benefit Plan owned in the aggregate of 4,229,259
shares of (including shares issuable upon exercise of warrants) Common Stock of the Issuer (“Shares”). The percentage
in Item 13 is based on 16,683,127 shares; which is 14,698,827 shares of Common Stock outstanding plus 1,984,300 shares and warrants
reported on herein (explained further in Item 5 below). Longboard Capital Advisors, LLC (“Longboard”), with Brett
Conrad as it’s sole managing member, is the investment manager of Blue Earth Fund, LP, as well as the investment manager
of separate investment accounts or plans maintained by each of Grayboard Investments, Ltd., Ptarmagin, LLC, and Conrad Group Inc.
Defined Benefit Plan, in which such entities’ respective shares referred to above are held. As a result, Longboard Capital
Advisors, LLC and Mr. Conrad possess the power to vote and/or dispose or direct the disposition of all shares owned by the above
entities. Thus, for purposes of Rule 13d-3 under the Act, Longboard and Mr. Conrad may be deemed to beneficially own a total of
4,229,259 Shares. However this filing shall not be construed to be an admission of such beneficial ownership.

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Page 3 of 7 – SEC Filing

1.

NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE
PERSONS (ENTITIES ONLY)

Brett Conrad

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    ¨
(b)    ¨
3. SEC USE ONLY
 
4. SOURCE OF FUNDS (see instructions)
 
OO/WC (funds of managed investment vehicles; working capital)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ¨
6.

CITIZENSHIP OR PLACE OF ORGANIZATION

Brett Conrad – USA

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7. SOLE VOTING POWER
 
4,229,259*
8. SHARED VOTING POWER
 
00,000
9. SOLE DISPOSITIVE POWER
 
4,229,259*
10. SHARED DISPOSITIVE POWER
 
00,000
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

4,229,259*
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(see instructions)    ¨
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

25.35%*
14.

TYPE OF REPORTING PERSON (see instructions)

Brett Conrad – IN

 

*As of October 2, 2017, Blue Earth Fund,
LP, Grayboard Investments, Ltd, Ptarmagin, LLC and Conrad Group Inc. Defined Benefit Plan owned in the aggregate of 4,229,259
shares of (including shares issuable upon exercise of warrants) Common Stock of the Issuer (“Shares”). The percentage
in Item 13 is based on 16,683,127 shares; which is 14,698,827 shares of Common Stock outstanding plus 1,984,300 shares and warrants
reported on herein (explained further in Item 5 below). Longboard Capital Advisors, LLC (“Longboard”), with Brett
Conrad as it’s sole managing member, is the investment manager of Blue Earth Fund, LP, as well as the investment manager
of separate investment accounts or plans maintained by each of Grayboard Investments, Ltd., Ptarmagin, LLC, and Conrad Group Inc.
Defined Benefit Plan, in which such entities’ respective shares referred to above are held. As a result, Longboard Capital
Advisors, LLC and Mr. Conrad possess the power to vote and/or dispose or direct the disposition of all shares owned by the above
entities. Thus, for purposes of Rule 13d-3 under the Act, Longboard and Mr. Conrad may be deemed to beneficially own a total of
4,229,259 Shares. However this filing shall not be construed to be an admission of such beneficial ownership.

 

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Page 4 of 7 – SEC Filing

 

Item 1.  Security and Issuer.

This statement on Schedule 13D relates
to the common stock, $0.001 par value per share (“Common Stock”), of Resonant Inc., a Delaware corporation (the “Issuer”).
The address of the Issuer’s principal executive offices is 110 Castilian Drive, Suite 100, Goleta, CA 93117.

Item 2.  Identity and Background.

(a) This Schedule 13D is being filed by Longboard Capital Advisors, LLC (“Longboard”) and Brett
Conrad, the managing member of Longboard. Longboard and Mr. Conrad are collectively referred herein as the “Reporting Persons”.

Longboard, with Mr. Conrad as
its sole managing member, is the general partner and/or investment manager of Blue Earth Fund, LP, Grayboard Investments, Ltd,
Ptarmagin, LLC, and Conrad Group Inc. Defined Benefit Plan (each an “Investment Vehicle” and collectively the “Investment
Vehicles”) and in such capacity exercises dispositive power over the securities and may be deemed to be the beneficial owner
of such securities. Each of the Reporting Persons is party to that certain Joint Filing Agreement, as further described in Item
6. Accordingly, the Reporting Persons are hereby filing a joint Schedule 13D.

(b) The business address of the Reporting Persons:

1312 Cedar St.

Santa Monica, California 90405

(c) The principal business of Longboard is the performance of investment management and advisory services, and the principal business
of Mr. Conrad is serving as the managing member and sole owner of Longboard.
(d) During the past five years, none of the Reporting Persons have been convicted in a criminal proceeding (excluding traffic violations
or similar misdemeanors).
(e) During the past five years, none of the Reporting Persons have been a party to a civil proceeding of a judicial or administrative
body of competent jurisdiction or as a result of such a proceeding was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation
with respect to such laws.
(f) Citizenship or Jurisdiction of Organization:

Longboard is a Delaware limited liability company.

Mr. Conrad is a United States citizen.

Item 3.  Source or Amount of Funds or Other Consideration.

 

The Shares to which this statement relates
were acquired by the Reporting Persons using the working capital of each Investment Vehicle as follows:

Blue Earth Fund, LP:
$622,110

Grayboard Investments,
Ltd: $9,721,210

Ptarmagin, LLC: $491,300

Conrad Group Inc. Defined Benefit Plan: $73,933

The Investment Vehicles have invested an aggregate amount of approximately $10,908,553 in the Shares.

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Page 5 of 7 – SEC Filing

Item 4.  Purpose of Transaction.

The Shares covered by this statement were
acquired in the ordinary course of business solely for investment purposes and not for the purposes of participating in or influencing
the management of the Issuer.

The Reporting Persons do not have any present
plans or proposals that relate to or would result in: (i) the acquisition by any person of additional securities of the Issuer,
or the disposition of securities of the Issuer; (ii) an extraordinary corporate transaction, such as a merger, reorganization or
liquidation, involving the Issuer or any of its subsidiaries; (iii) a sale or transfer of a material amount of assets of the Issuer
or any of its subsidiaries; (iv) any change in the present board of directors or management of the issuer, including any plans
or proposals to change the number or term of directors or to fill any existing vacancies on the board; (v) any material change
in the present capitalization or dividend policy of the Issuer; (vi) any other material change in the Issuer’s business or
corporate structure; (vii) changes in the Issuer’s charter, by-laws or instruments corresponding thereto or other actions
which may impede the acquisition of control of the Issuer by any person; (viii) causing a class of securities of the Issuer to
be de-listed from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system
of a registered national securities association; (ix) a class of equity securities of the Issuer becoming eligible for termination
of registration pursuant to Section 12(g)(4) of the Act; or (x) any action similar to any of those enumerated above.

Notwithstanding the foregoing, the Reporting
Persons reserve the right to discuss various views and opinions with respect to the Issuer and its business plans with the Issuer.

Item 5.  Interest in Securities
of the Issuer.

(a)

The aggregate percentage of shares reported owned by each person named herein is based on 16,683,127 Common
Stock shares; which is 14,698,827 shares of Common Stock outstanding as of August 8, 2017 (reported in the Issuer’s last
Form 10-Q) plus the number of shares and warrants reported herein, 1,984,300.

As of the close of business
on the date hereof, Longboard, as the investment advisor to the Investment Vehicles, and Brett Conrad, as the managing member,
may be deemed to beneficially own the 4,229,259 Shares (including shares issuable upon exercise of warrants) owned in the aggregate
by the Investment Vehicles, constituting approximately 25.35% of the shares of Common Stock outstanding.

(b) The Reporting Persons possess the sole power to vote, and/or to direct the disposition of the shares
held by the Reporting Persons.
(c)

On September 25, 2017, Blue Earth Fund, LP and Conrad Group Inc. Defined Benefit Plan each purchased,
through Purchase Agreements, 5300 units at $4.70 per unit for total aggregate gross proceeds of $49,820. Each unit consists of
one share of Common Stock and one warrant to purchase one share of Common Stock at an exercise price of $4.85 per share.

On February 22, 2017, Grayboard
Investments, Ltd entered into that certain securities purchase agreement with the Issuer in which the Issuer sold 1,626,898 units
at a price of $4.61 per unit for total aggregate gross proceeds of $7,500,000. Each unit consists of one share of Common Stock
and one warrant to purchase one share of Common Stock at an exercise price of $8.25 per share.

On January 12th, 13th
and 17th, 2017, Conrad Group Inc. Defined Benefit Plan purchased, through brokerage transactions on the open market,
a total of 20,000 Common Shares at a purchase price of $4.28 per share for total aggregate gross proceeds of $85,600.

On January 04, 2017 Grayboard
Investments, Ltd purchased on the open market 13,200 shares of Common Stock for the aggregate gross proceeds of $64,364.52 at a
price of $4.87 per share.

On December 30, 2016 Grayboard
Investments, Ltd purchased on the open market 10,000 shares of Common Stock for the aggregate gross proceeds of $47,800 at a price
of $4.78 per share.

Except as reported directly
above, the Reporting Persons have not affected any transactions in the Common Stock of the Issuer during the past 60 days.

(d) Not applicable
(e) Not applicable

Item 6.  Contracts, Arrangements,
Understandings or Relationships with Respect to Securities of the Issuer.

On October 16, 2017, the Reporting Persons
entered into a Joint Filing Agreement in which the Reporting Persons agreed to the joint filing on behalf of each of them of statements
on Schedule 13D with respect to securities of the Issuer, to the extent required by applicable law. A copy of this agreement is
attached hereto as Exhibit A and is incorporated herein by reference.

Other than as described herein, there
are no contracts, arrangements, understandings or relationships among the Reporting Persons, or between the Reporting Persons
and any other person, with respect to the securities of the Issuer.

Item 7.  Material to Be Filed
as Exhibits.

Exhibit A Joint Filing Agreement, dated
October 16, 2017

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Page 6 of 7 – SEC Filing

SIGNATURE

 

After reasonable inquiry and to the best
of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: October 16, 2017

Longboard Capital Advisors, LLC

Name: /s/ Brett Conrad

Brett Conrad

Managing Member

 

 

Brett Conrad

Name: /s/ Brett Conrad

Brett Conrad

 

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Page 7 of 7 – SEC Filing

EXHIBIT A

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k)(1)(iii)
under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of
them of a Statement on Schedule D (including additional amendments thereto) with respect to the shares of Common Stock, $0.001
par value, of Resonant Inc., a Delaware Corporation. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.

Dated: October 16, 2017

Longboard Capital Advisors, LLC

Name: /s/ Brett Conrad

Brett Conrad

Managing Member

 

 

Brett Conrad

Name: /s/ Brett Conrad

Brett Conrad

 

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