Filing Details

Accession Number:
0001607240-21-000009
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-12-03 21:43:21
Reporting Period:
2021-12-01
Accepted Time:
2021-12-03 21:43:21
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
1607240 Neal Fenzi C/o Resonant Inc.10900 Stonelake Blvd.,
Suite 100, Office 02-130
Austin TX 78759
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 2021-12-01 8,653 $0.00 567,389 No 4 M Direct
Common Stock Acquisiton 2021-12-01 6,057 $0.00 573,446 No 4 M Direct
Common Stock Acquisiton 2021-12-01 9,430 $0.00 582,876 No 4 M Direct
Common Stock Acquisiton 2021-12-01 10,638 $0.00 593,514 No 4 M Direct
Common Stock Acquisiton 2021-12-01 6,250 $0.00 599,764 No 4 M Direct
Common Stock Disposition 2021-12-02 9,025 $1.90 590,739 No 4 S Direct
Common Stock Disposition 2021-12-03 5,970 $1.75 584,769 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 8,653 $0.00 8,653 $0.00
Common Stock Restricted Stock Units Disposition 2021-12-01 6,057 $0.00 6,057 $0.00
Common Stock Restricted Stock Units Disposition 2021-12-01 9,430 $0.00 9,430 $0.00
Common Stock Restricted Stock Units Disposition 2021-12-01 10,638 $0.00 10,638 $0.00
Common Stock Restricted Stock Units Disposition 2021-12-01 6,250 $0.00 6,250 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
6,057 No 4 M Direct
18,860 No 4 M Direct
31,914 No 4 M Direct
12,500 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. 8,654 restricted stock units vested on December 1, 2018 and 8,653 restricted stock units vested on each of December 2, 2019, December 1, 2020, and December 1, 2021.
  6. 6,058 restricted stock units vested on December 2, 2019, 6,057 restricted stock units vested on each of December 1, 2020 and December 1, 2021, and an installment of 6,057 restricted stock units will vest on December 1, 2022.
  7. (9,430 restricted stock units vested on December 1, 2020 and December 1, 2021, and installments of 9,430 restricted stock units will vest on each of December 1, 2022 and December 1, 2023.
  8. 10,638 restricted stock units vested on December 1, 2021, and installments of 10,638 restricted stock units will vest on each of December 1, 2022, December 1, 2023, and December 1, 2024.
  9. 6,250 restricted stock units vested on December 1, 2021, and installments of 6,250 restricted stock units will vest on each of December 1, 2022 and December 1, 2023.