0001607240-21-000009.txt : 20211203 0001607240-21-000009.hdr.sgml : 20211203 20211203214321 ACCESSION NUMBER: 0001607240-21-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211201 FILED AS OF DATE: 20211203 DATE AS OF CHANGE: 20211203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fenzi Neal CENTRAL INDEX KEY: 0001607240 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36467 FILM NUMBER: 211471791 MAIL ADDRESS: STREET 1: C/O RESONANT INC.10900 STONELAKE BLVD., STREET 2: SUITE 100, OFFICE 02-130 CITY: AUSTIN STATE: TX ZIP: 78759 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: 10900 STONELAKE BLVD STREET 2: SUITE 100, OFFICE 02-130 CITY: AUSTIN STATE: TX ZIP: 78759 BUSINESS PHONE: (805) 308-9803 MAIL ADDRESS: STREET 1: 10900 STONELAKE BLVD STREET 2: SUITE 100, OFFICE 02-130 CITY: AUSTIN STATE: TX ZIP: 78759 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2021-12-01 0 0001579910 Resonant Inc RESN 0001607240 Fenzi Neal C/O RESONANT INC.10900 STONELAKE BLVD., SUITE 100, OFFICE 02-130 AUSTIN TX 78759 0 1 0 0 Chief Technology Officer Common Stock 2021-12-01 4 M 0 8653 A 567389 D Common Stock 2021-12-01 4 M 0 6057 A 573446 D Common Stock 2021-12-01 4 M 0 9430 A 582876 D Common Stock 2021-12-01 4 M 0 10638 A 593514 D Common Stock 2021-12-01 4 M 0 6250 A 599764 D Common Stock 2021-12-02 4 S 0 9025 1.8982 D 590739 D Common Stock 2021-12-03 4 S 0 5970 1.748 D 584769 D Restricted Stock Units 2021-12-01 4 M 0 8653 0 D Common Stock 8653 0 D Restricted Stock Units 2021-12-01 4 M 0 6057 0 D Common Stock 6057 6057 D Restricted Stock Units 2021-12-01 4 M 0 9430 0 D Common Stock 9430 18860 D Restricted Stock Units 2021-12-01 4 M 0 10638 0 D Common Stock 10638 31914 D Restricted Stock Units 2021-12-01 4 M 0 6250 0 D Common Stock 6250 12500 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 $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. /a/Martin S. McDermut, Attorney-In-Fact 2021-12-03