Filing Details

Accession Number:
0001603582-19-000004
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-04-03 18:24:44
Reporting Period:
2019-04-01
Accepted Time:
2019-04-03 18:24:44
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1579910 Resonant Inc RESN Semiconductors & Related Devices (3674) 454320930
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1603582 B George Holmes C/O Resonant Inc.
175 Cremona Drive, Suite 200
Goleta CA 93117
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-04-01 9,000 $0.00 299,709 No 4 M Direct
Common Stock Acquisiton 2019-04-01 2,639 $0.00 302,348 No 4 M Direct
Common Stock Acquisiton 2019-04-01 2,496 $0.00 304,844 No 4 M Direct
Common Stock Disposition 2019-04-02 6,172 $3.23 298,672 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2019-04-01 9,000 $0.00 9,000 $0.00
Common Stock Restricted Stock Units Disposition 2019-04-01 2,639 $0.00 2,639 $0.00
Common Stock Restricted Stock Units Disposition 2019-04-01 2,496 $0.00 2,496 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
27,000 No 4 M Direct
7,918 No 4 M Direct
7,488 No 4 M Direct
Footnotes
  1. Each restricted stock unit represents a contingent right to receive one share of Resonant common stock.
  2. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person to satisfy the reporting person's tax withholding obligations upon the vesting of restricted stock units.
  3. This transaction was executed in multiple trades at prices ranging from $3.2301 to $3.24. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  4. 27,000 shares vested on each of July 1, 2016, October 1, 2016 and January 1, 2017, and 9,000 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.
  5. 7,917 shares vested on each of July 1, 2016, October 1, 2016 and January 1, 2017, and 2,639 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.
  6. 22,465 shares vested on October 4, 2016, 7,489 shares vested on January 1, 2017, and 2,496 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.