Filing Details
- Accession Number:
- 0001488471-17-000003
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-04-05 14:43:52
- Reporting Period:
- 2017-04-03
- Filing Date:
- 2017-04-05
- Accepted Time:
- 2017-04-05 14:43:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1579910 | Resonant Inc | RESN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1488471 | A Jeffrey Killian | C/O Resonant Inc. 110 Castilian Drive, Suite 100 Goleta CA 93117 | Chief Financial 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 | 2017-04-03 | 12,500 | $0.00 | 19,028 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-04 | 4,300 | $5.02 | 14,728 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-04-05 | 350 | $4.98 | 14,378 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2017-04-03 | 12,500 | $0.00 | 12,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 175,000 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock. On April 3, 2017, 12,500 of the reporting person's restricted stock units were settled for an equal number of shares of 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 $4.91 to $5.36. 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.
- This transaction was executed in multiple trades at prices ranging from $4.91 to $5.04. 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.
- 12,500 shares vest on the first business day of each calendar quarter until fully vested, with the first installment vesting on January 3, 2017.
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