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
- Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. 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 $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.
- 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.
- 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.
- 6,058 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.
- (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.
- 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.
- 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.
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