Filing Details

Accession Number:
0001603582-21-000002
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-12-03 21:28:50
Reporting Period:
2021-12-01
Accepted Time:
2021-12-03 21:28:50
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.
10900 Stonelake Blvd., Suite 100, Office
Austin TX 78759
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 2021-12-01 24,013 $0.00 450,809 No 4 M Direct
Common Stock Acquisiton 2021-12-01 3,205 $0.00 454,014 No 4 M Direct
Common Stock Acquisiton 2021-12-01 24,013 $0.00 478,027 No 4 M Direct
Common Stock Acquisiton 2021-12-01 50,000 $0.00 528,027 No 4 M Direct
Common Stock Acquisiton 2021-12-01 38,610 $0.00 566,637 No 4 M Direct
Common Stock Disposition 2021-12-02 39,857 $1.90 526,780 No 4 S Direct
Common Stock Disposition 2021-12-03 26,344 $1.75 500,436 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 M Direct
No 4 S 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 2021-12-01 24,013 $0.00 24,013 $0.00
Common Stock Restricted Stock Units Disposition 2021-12-01 3,205 $0.00 3,205 $0.00
Common Stock Restricted Stock Units Disposition 2021-12-01 24,013 $0.00 24,013 $0.00
Common Stock Restricted Stock Units Disposition 2021-12-01 50,000 $0.00 50,000 $0.00
Common Stock Restricted Stock Units Disposition 2021-12-01 38,610 $0.00 38,610 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
3,205 No 4 M Direct
24,013 No 4 M Direct
100,000 No 4 M Direct
115,830 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 $1.88 to $1.9150. 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. This transaction was executed in multiple trades at prices ranging from $1.73 to $1.78. 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.
  5. 24,013 restricted stock units vested on each of December 1, 2018, December 1, 2019, December 2, 2020, and December 1, 2021.
  6. 3,206 restricted stock units vested on December 2, 2019, installments of 3,205 restricted stock units vested on each of December 1, 2020 and December 1, 2021, and an installment of 3,205 restricted stock units will vest on December 1, 2022.
  7. 24,014 restricted stock units vested on December 2, 2019, installments of 24,013 restricted stock units vested on each of December 1, 2020 and December 1, 2021, and an installment of 24,013 restricted stock units will vest on December 1, 2022.
  8. 50,000 restricted stock units vested on each of December 1, 2020 and December 1, 2021, and installments of 50,000 restricted stock units will vest on each of December 1, 2022, and December 1, 2023.
  9. 38,610 restricted stock units vested on December 1, 2021, and installments of 38,610 restricted stock units will vest on each of December 1, 2022, December 1, 2023 and December 1, 2024.