Filing Details

Accession Number:
0001114331-19-000008
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-12-04 19:28:46
Reporting Period:
2019-12-02
Accepted Time:
2019-12-04 19:28:46
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1579910 Resonant Inc RESN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1114331 B Robert Hammond C/O Resonant Inc.
175 Cremona Drive, Suite 200
Goleta CA 93117
Chief Technology Officer No 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 2019-12-02 11,250 $0.00 484,965 No 4 M Direct
Common Stock Acquisiton 2019-12-02 8,683 $0.00 493,648 No 4 M Direct
Common Stock Acquisiton 2019-12-02 8,075 $0.00 501,723 No 4 M Direct
Common Stock Disposition 2019-12-03 10,340 $2.07 491,383 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 2019-12-02 11,250 $0.00 11,250 $0.00
Common Stock Restricted Stock Units Disposition 2019-12-02 8,683 $0.00 8,683 $0.00
Common Stock Restricted Stock Units Disposition 2019-12-02 8,075 $0.00 8,075 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
11,250 No 4 M Direct
17,366 No 4 M Direct
24,225 No 4 M Direct
Footnotes
  1. Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. 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 $2.05 to $2.075. 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. 11,250 restricted stock units vested on each of December 1, 2017, December 1, 2018 and December 2, 2019, and an installment of 11,250 restricted stock units will vest on December 1, 2020.
  5. 8,683 restricted stock units vested on each of December 1, 2018 and December 2, 2019, and installments of 8,683 restricted stock units will vest on each of December 1, 2020 and December 1, 2021.
  6. 8,075 restricted stock units vested on December 2, 2019, and installments of 8,075 restricted stock units will vest on each of December 1, 2020, December 1, 2021 and December 1, 2022.