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