0001603582-17-000001.txt : 20170202 0001603582-17-000001.hdr.sgml : 20170202 20170202164006 ACCESSION NUMBER: 0001603582-17-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170201 FILED AS OF DATE: 20170202 DATE AS OF CHANGE: 20170202 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Holmes George B CENTRAL INDEX KEY: 0001603582 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36467 FILM NUMBER: 17568836 MAIL ADDRESS: STREET 1: 3590 NORTH FIRST STREET, SUITE 210 CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-02-01 0 0001579910 Resonant Inc RESN 0001603582 Holmes George B C/O RESONANT INC. 110 CASTILIAN DRIVE, SUITE 100 GOLETA CA 93117 1 1 0 0 Chief Executive Officer Common Stock 2017-02-01 4 M 0 81000 A 124217 D Common Stock 2017-02-01 4 M 0 23751 A 147968 D Common Stock 2017-02-01 4 M 0 29954 A 177922 D Restricted Stock Units 2017-02-02 4 A 0 83000 0 A Common Stock 83000 83000 D Restricted Stock Units 2017-02-01 4 M 0 81000 0 D Common Stock 81000 108000 D Restricted Stock Units 2017-02-01 4 M 0 23751 0 D Common Stock 23751 31669 D Restricted Stock Units 2017-02-01 4 M 0 29954 0 D Common Stock 29954 29952 D Each restricted stock unit represents a contingent right to receive one share of Resonant common stock. The restricted stock units will vest in four equal installments of 20,750 shares on each of December 1, 2017, December 1, 2018, December 1, 2019 and December 1, 2020. 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. The Reporting Person elected to defer until February 1, 2017 receipt of the 81,000 shares vesting prior to that date. 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. The Reporting Person elected to defer until February 1, 2017 receipt of the 23,751 shares vesting prior to that date. 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. The Reporting Person elected to defer until February 1, 2017 receipt of the 29,954 shares vesting prior to that date. Exhibit 24 power of attorney filed herewith. /s/Jeffrey Killian, Attorney-In-Fact 2017-02-02 EX-24 2 holmes_poarev.txt POA POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Jeffrey Killian as the undersigned's true and lawful attorney-in-fact to: (a) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Resonant Inc. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (b) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Forms 3, 4 or 5, complete and execute any amendment or amendments thereto, and file such form with the United States Securities and Exchange Commission, and any stock exchange or similar authority; and (c) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 or 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 2nd day of February, 2017. /s/ George B. Holmes George B. Holmes