0001114331-17-000006.txt : 20171205 0001114331-17-000006.hdr.sgml : 20171205 20171205150153 ACCESSION NUMBER: 0001114331-17-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171201 FILED AS OF DATE: 20171205 DATE AS OF CHANGE: 20171205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAMMOND ROBERT B CENTRAL INDEX KEY: 0001114331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36467 FILM NUMBER: 171239448 MAIL ADDRESS: STREET 1: RESONANT INC. STREET 2: 110 CASTILIAN DRIVE, SUITE 100 CITY: GOLETA STATE: CA ZIP: 93117 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Resonant Inc CENTRAL INDEX KEY: 0001579910 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 454320930 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 110 CASTILIAN DRIVE STREET 2: SUITE 100 CITY: GOLETA STATE: CA ZIP: 93117 BUSINESS PHONE: (805) 308-9803 MAIL ADDRESS: STREET 1: 110 CASTILIAN DRIVE STREET 2: SUITE 100 CITY: GOLETA STATE: CA ZIP: 93117 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-12-01 0 0001579910 Resonant Inc RESN 0001114331 HAMMOND ROBERT B RESONANT INC. 110 CASTILIAN DRIVE, SUITE 100 GOLETA CA 93117 1 1 0 0 Chief Technology Officer Common Stock 2017-12-01 4 M 0 11250 A 382969 D Common Stock 2017-12-04 4 S 0 4395 7.2091 D 378574 D Restricted Stock Units 2017-12-01 4 M 0 11250 0 D Common Stock 11250 33750 D 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 $7.20 to $7.22. 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. 11,250 restricted stock units vested on December 1, 2017, and installments of 11,250 restricted stock units will vest on each of December 1, 2018, December 1, 2019 and December 1, 2020. Jeffrey Killian, Attorney-In-Fact 2017-12-05