Filing Details
- Accession Number:
- 0001104659-19-070007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-04 21:01:26
- Reporting Period:
- 2019-12-02
- Accepted Time:
- 2019-12-04 21:01:26
- 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 | 2019-12-02 | 20,750 | $0.00 | 334,654 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-12-02 | 24,013 | $0.00 | 358,667 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-12-02 | 3,206 | $0.00 | 361,873 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-12-02 | 24,014 | $0.00 | 385,887 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-12-03 | 33,385 | $2.11 | 352,502 | 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 | 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 | 20,750 | $0.00 | 20,750 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2019-12-02 | 24,013 | $0.00 | 24,013 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2019-12-02 | 3,206 | $0.00 | 3,206 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2019-12-02 | 24,014 | $0.00 | 24,014 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,750 | No | 4 | M | Direct | ||
| 48,026 | No | 4 | M | Direct | ||
| 9,615 | No | 4 | M | Direct | ||
| 72,039 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock.
- 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.
- This transaction was executed in multiple trades at prices ranging from $2.07 to $2.135. 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.
- 20,750 restricted stock units vested on each of December 1, 2017, December 1, 2018 and December 2, 2019, and an installment of 20,750 restricted stock units will vest on December 1, 2020.
- 24,014 restricted stock units vested on December 1, 2018, 24,013 restricted stock units vested on December 2, 2019, and installments of 24,013 restricted stock units will vest on each of December 1, 2020 and December 1, 2021.
- 3,206 restricted stock units vested on December 2, 2019, and installments of 3,205 restricted stock units will vest on each of December 1, 2020, December 1, 2021 and December 1, 2022.
- 24,014 restricted stock units vested on December 2, 2019, and installments of 24,013 restricted stock units will vest on each of December 1, 2020, December 1, 2021 and December 1, 2022
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