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
- Peter Appel is the sole member of Lone Wolf Holdings, LLC and may be deemed to beneficially own the securities identified above.
- 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.
- Upon consummation of a qualifying IPO.