Filing Details

Accession Number:
0001104659-14-043613
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-06-03 14:15:00
Reporting Period:
2014-06-03
Filing Date:
2014-06-03
Accepted Time:
2014-06-03 14:15:00
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
1227104 A Peter Appel 77 Oregon Road
Bedford Corners NY 10549
No No Yes No
1608714 Lone Wolf Holdings, Llc 77 Oregon Road
Bedford Corners NY 10549
No No Yes 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 2014-06-03 912,594 $3.35 912,594 No 4 C Direct
Common Stock Acquisiton 2014-06-03 167,000 $6.00 1,079,594 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Senior Secured Convertible Note Disposition 2014-06-03 0 $0.00 0 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-09-17 No 4 C Direct
Footnotes
  1. Peter Appel is the sole member of Lone Wolf Holdings, LLC and may be deemed to beneficially own the securities identified above.
  2. Conversion rate is the lower of (A) sixty percent (60%) of the price of a share of Common Stock sold in the qualifying IPO, or (B) the quotient of $7,800,000 divided by the Fully Diluted Shares (as defined in the note); provided that the conversion rate will not be less than the quotient of $6,000,000 divided by the Fully Diluted Shares.
  3. Upon consummation of a qualifying IPO.