Filing Details
- Accession Number:
- 0001603582-18-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-03 19:42:09
- Reporting Period:
- 2018-10-01
- Accepted Time:
- 2018-10-03 19:42:09
- 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. 110 Castilian Drive, Suite 100 Goleta CA 93117 | 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 | 2018-10-01 | 9,000 | $0.00 | 262,481 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-10-01 | 2,639 | $0.00 | 265,120 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-10-01 | 2,496 | $0.00 | 267,616 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-10-02 | 7,000 | $3.69 | 260,616 | 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 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2018-10-01 | 9,000 | $0.00 | 9,000 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-10-01 | 2,639 | $0.00 | 2,639 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-10-01 | 2,496 | $0.00 | 2,496 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 45,000 | No | 4 | M | Direct | ||
| 13,196 | No | 4 | M | Direct | ||
| 12,480 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit represents a contingent right to receive one share of Resonant 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 $3.64 to $3.79. 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.
- 27,000 shares vested on each of July 1, 2016, October 1, 2016 and January 1, 2017, and 9,000 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.
- 7,917 shares vested on each of July 1, 2016, October 1, 2016 and January 1, 2017, and 2,639 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.
- 22,465 shares vested on October 4, 2016, 7,489 shares vested on January 1, 2017, and 2,496 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.
- Adjusted to correct total number of restricted stock units remaining following reported transaction. All prior transactions with respect to restricted stock units have been previously reported.
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