SEC Form 4 · accession 0001104659-16-114356
Resonant Inc · RESN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 25, 2016
Accepted (ET)
Apr 26, 2016 · 8:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001579910
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 25, 2016 | P | 335,000 | $2.985 | A | 335,000 | D | |
| Common StockF2 | holding | — | — | — | 1,260,094 | I | By Lone Wolf Holdings, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (Right to Buy)F1 | $2.86 | Apr 25, 2016 | P | 335,000 | A | Oct 25, 2016 | Apr 25, 2019 | Common Stock | 335,000 | 335,000 | D |
Explanation of responses
- F1The reported securities are included within the units purchased by the reporting person for $2.985 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.
- F2Peter Appel is the sole member of Lone Wolf Holdings, LLC and may be deemed to beneficially own the securities identified above.