0001603582-18-000007.txt : 20181003
0001603582-18-000007.hdr.sgml : 20181003
20181003194209
ACCESSION NUMBER: 0001603582-18-000007
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181001
FILED AS OF DATE: 20181003
DATE AS OF CHANGE: 20181003
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: 181106636
MAIL ADDRESS:
STREET 1: C/O 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
2018-10-01
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
2018-10-01
4
M
0
9000
A
262481
D
Common Stock
2018-10-01
4
M
0
2639
A
265120
D
Common Stock
2018-10-01
4
M
0
2496
A
267616
D
Common Stock
2018-10-02
4
S
0
7000
3.6875
D
260616
D
Restricted Stock Units
2018-10-01
4
M
0
9000
0
D
Common Stock
9000
45000
D
Restricted Stock Units
2018-10-01
4
M
0
2639
0
D
Common Stock
2639
13196
D
Restricted Stock Units
2018-10-01
4
M
0
2496
0
D
Common Stock
2496
12480
D
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.
/s/Jeffrey Killian, Attorney-In-Fact
2018-10-03